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 | 2014 - Advanced Diploma of Financial Planning - - Integrity Education Group ~ 2016 - Margin Lending - - Kaplan Professional Education ~ 2016 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2018 - Fellow Chartered Financial Practitioner (FChFP) - - Association of Financial Advisers (AFA) ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education |
| Carly Brooke Jackson | 2023 | 2021 - Bachelor of Commerce (Financial Planning major) - Bachelor Degree (AQF 7) - University of Canberra ~ 2022 - Financial Statement Fundamentals - Small and Medium Enterprises - Certificate (AQF 1-4) - Kaplan Professional |
| Dean Easterby | 1998 | 2002 - Master of Business Administration - Masters Degree (AQF 9) - Charles Sturt University ~ 2003 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2006 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2012 - RG146 Provide advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Dyon Keil | 2008 | 2001 - Diploma of Financial Markets - Diploma (AQF 5) - Securities Institute ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - MLC ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Mentor ~ 2012 - SMSF - Other - Kaplan ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Emily Kate Johnson | 0 | 2019 - Bachelor of Commerce (Major in Financial Planning and Applied Economics) - Bachelor Degree (AQF 7) - University of Canberra |
| Julian Farmer | 1994 | 1999 - AFMA Accreditation Examination - - AFMA Services Pty Ltd ~ 2011 - Bachelor of Business (EcoNomics) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2011 - Bachelor of Business (Economics) - - Charles Sturt University ~ 2011 - RG146 Margin Lending & Geared Investments - Diploma (AQF 5) - Kaplan Australia ~ 2019 - Diploma of Financial Planning FNS50615 - Diploma (AQF 5) - Kaplan Australia ~ 2019 - RG146 Tier 1 Compliance Program Superannuation Life Insurance - Diploma (AQF 5) - Kaplan Australia |
| Katharine Laurina Whild | 2021 | 2010 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The Australian National University ~ 2015 - Graduate Diploma of Chartered Accounting - Graduate Diploma (AQF 8) - Chartered Accountants Australia and New Zealand ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Patricia Michelle Paborito Ryan | 2021 | 2017 - Bachelor of Commerce (Financial Planning Major) - Bachelor Degree (AQF 7) - University of Canberra ~ 2023 - Tier 1 Margin Lending - General Advice - Certificate (AQF 1-4) - Kaplan Professional Education |
| Paul Morgan Cooke | 2003 | 1985 - Bachelor of Economics - Bachelor Degree (AQF 7) - Financial Planning Association of Australia (FPA) ~ 2002 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2013 - RG146 Provide advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Robert Mcneil Beith | 1995 | 1984 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Sydney ~ 1997 - Diploma of Financial Planning - Diploma (AQF 5) - RMIT/FPA ~ 1999 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) |
| Samuel Furler | 2008 | 2006 - Bachelor of Applied Economics - Bachelor Degree (AQF 7) - University of Canberra ~ 2006 - Bachelor of Commerce in Banking and Finance - Bachelor Degree (AQF 7) - University of Canberra ~ 2009 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2012 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2018 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) |
| Scott Anthony Carle | 2003 | 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Accredited Listed Product Adviser Program - Certificate (AQF 1-4) - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - Tier 1 Margin Lending - Personal Advice - Certificate (AQF 1-4) - Kaplan Professional |