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 limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives limited to:
old law securities options contracts and warrants;
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;
interests in managed investment schemes limited to:
MDA 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 limited to:
old law securities options contracts and warrants; and
interests in managed investment schemes limited to:
investor directed portfolio services; and
MDA services; 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 limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives limited to:
old law securities options contracts and warrants;
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 |
|---|---|---|
| Anthony Johanne Dilrukshan Fernandopulle | 2013 | 2003 - Bachelor Degree - Commerce - - Macquarie University ~ 2009 - Advanced Diploma - Financial Planning - - Kaplan |
| Benjamin James Armstrong Vinson | 1999 | 2003 - Diploma of Financial PLanning - - Deakin University ~ 2005 - Bachelor of Business - - RMIT ~ 2006 - Master of Financial Planning - - University of the Sunshine Coast ~ 2006 - Master of Financial Planning - Masters Degree (AQF 9) - University of the Sunshine Coast ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Emily Ugarkovic | 2024 | 2017 - Bachelor of Commerce - Bachelor Honours Degree (AQF 8) - Notre Dame ~ 2022 - Grapduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Erin Marie Lynes | 2010 | 2003 - Bachelor of International Business - - University of Scranton USA ~ 2003 - Bachelor of Spainish - - University of Scranton USA ~ 2004 - Master of International Business Administration - - Foro Europeo Escuela de Negocios Spain ~ 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association |
| Grant Ronald Innis | 1993 | 1994 - Bachelor of Business (Finance & Economics) - - University of Technology Sydney ~ 1995 - Diploma of Financial Planning - - RMIT University ~ 1996 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2003 - Foundation DFP - - Financial Planning Association of Australia |
| Jonathon Andrew Halls | 2012 | 2008 - Bachelor of Business and Commerce - - University of Western Sydney ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2017 - Master of Financial Plannning - Masters Degree (AQF 9) - Western Sydney University |
| Matthew John Ingram | 2024 | 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Scott Durbidge | 2002 | 2003 - Bachelor of Law - - University of Western Sydney ~ 2003 - Bachelor of Management - - University of Western Sydney ~ 2004 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2007 - Master of Financial Planning - - University of the Sunshine Coast ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |