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;
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:
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;
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 |
|---|---|---|
| Bhavna Patel | 2004 | Advanced Diploma of Financial Planning - Integrity Education Group ~ Fellow Chartered Financial Practitioner (FChFP) - Association of Financial Advisers (AFA) ~ Graduate Diploma of Financial Planning - Kaplan Higher Education ~ Margin Lending - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Carly Brooke Jackson | 2023 | Bachelor of Commerce (Financial Planning major) - University of Canberra ~ Financial Statement Fundamentals - Small and Medium Enterprises - Kaplan Professional |
| Dean Easterby | 1998 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ Master of Business Administration - Charles Sturt University ~ RG146 Provide advice in Margin Lending - MLC ThreeSixty |
| Dyon Keil | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Mentor ~ Diploma of Financial Markets - Securities Institute ~ Diploma of Financial Services (Financial Planning) - MLC ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ SMSF - Kaplan |
| Emily Kate Johnson | 0 | Bachelor of Commerce (Major in Financial Planning and Applied Economics) - University of Canberra |
| Julian Farmer | 1994 | AFMA Accreditation Examination - AFMA Services Pty Ltd ~ AFMA Accreditation Examination - AFMA Services Pty Ltd ~ Bachelor of Business (EcoNomics) - Charles Sturt University ~ Bachelor of Business (EcoNomics) - Charles Sturt University ~ Bachelor of Business (Economics) - Charles Sturt University ~ Bachelor of Business (Economics) - Charles Sturt University ~ Diploma of Financial Planning FNS50615 - Kaplan Australia ~ Diploma of Financial Planning FNS50615 - Kaplan Australia ~ RG146 Margin Lending & Geared Investments - Kaplan Australia ~ RG146 Margin Lending & Geared Investments - Kaplan Australia ~ RG146 Tier 1 Compliance Program Superannuation Life Insurance - Kaplan Australia ~ RG146 Tier 1 Compliance Program Superannuation Life Insurance - Kaplan Australia |
| Katharine Laurina Whild | 2021 | Bachelor of Commerce - The Australian National University ~ Diploma of Financial Planning - Monarch Institute ~ Graduate Diploma of Chartered Accounting - Chartered Accountants Australia and New Zealand ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Patricia Michelle Paborito Ryan | 2021 | Bachelor of Commerce (Financial Planning Major) - University of Canberra ~ Tier 1 Margin Lending - General Advice - Kaplan Professional Education |
| Paul Morgan Cooke | 2003 | Bachelor of Economics - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Provide advice in Margin Lending - MLC ThreeSixty |
| Robert Mcneil Beith | 1995 | Bachelor of Economics - University of Sydney ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Diploma of Financial Planning - RMIT/FPA |
| Samuel Furler | 2008 | Advanced Diploma Financial Services (Financial Planning) FNS60404 - Kaplan Australia ~ Bachelor of Applied Economics - University of Canberra ~ Bachelor of Commerce in Banking and Finance - University of Canberra ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Diploma Financial Services (Financial Planning) FNS50804 - Kaplan Australia |