This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Dean Horwitz | 2018 | 2010 - Bachelor Of Economics - - Macquarie University ~ 2010 - Bachelor of Applied Finance - - Macquarie University ~ 2011 - Master of Economics - - Macquarie University ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Ellen Louise Ferris | 1998 | 1995 - Bachelor of Economics (Hons) - - University of New England ~ 2000 - Diploma of Financial Planning - - Deakin University/ Financial Planning Association ~ 2001 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Hayden Ronald Witts | 2018 | 2017 - Bachelor of Commerce (Finance and Accounting) - Bachelor Degree (AQF 7) - Macquarie University ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology Pty Ltd (IIT) ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology Pty Ltd (IIT) ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jerome Paul Chopard | 1985 | 1981 - Bachelor of Arts - - National University of Singapore ~ 1987 - Graduate Diploma - - Securities Institute of Australia ~ 1987 - Graduate Diploma - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2012 - SMSF Certificate of Completion - - KAPLAN ~ 2015 - Practice Management Program - - The Wharton School of the University of Pennsylvania |
| Maria Mariel Tiglao | 2018 | 2012 - Bachelor of Business - Bachelor Degree (AQF 7) - University Of Technology, Sydney ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy Pty Ltd |
| Paul Robert Bourgeois | 1985 | 1978 - Bachelor of Economics - - University of New England ~ 1987 - Graduate Diploma - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 1989 - Associate SIA - - Securities Institute of Australia |
| Rachael DE Vos | 2004 | 1997 - Bachelor of Business - - UTS ~ 1999 - Chartered Accountant (CA) - Professional Designations - Chartered Accountants (ANZ) ~ 2005 - Diploma of Financial Planning - - FPA |
| Sian Jin Ridzuan Chua | 2011 | 1996 - MSc (Electrical and Computer Engineering) - - Carnegie Mellon University ~ 2003 - Chartered Financial Analyst - - CFA Institute ~ 2010 - ADFS (FP) - - Kaplan ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2023 - Tax for Financial Advising - Certificate (AQF 1-4) - Kaplan Professional |