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;
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;
derivatives;
general insurance 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 |
|---|---|---|
| Anita Allan | 2017 | 2000 - Bachelor of Commerce - - Flinders University ~ 2003 - Chartered Accountant - - Institute of Chartered Accountants Aust (now CAANZ) ~ 2007 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - FINSIA ~ 2016 - RG146 Licensing Training of Financial Product Advisers - - Financial Education Professionals ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Coby Faulkner | 2011 | 2007 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Flinders University ~ 2009 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2017 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Danny Beshara | 2010 | 2009 - Bachelor of Commerce and Applied Finance - - University of SA ~ 2011 - Diploma of Financial Planning - - Kaplan ~ 2011 - RG146 - - Kaplan |
| Edward Jack Bell | 1992 | 1992 - Bachelor of Economics - - Flinders University of SA ~ 2001 - Graduate Diploma in Financial Planning - - Securities Institute ~ 2015 - LRS Certification Program - - Financial Planning Association ~ 2023 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Eleanor Mary Manuel Hempel | 2018 | 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Hong Zhang | 2010 | 2002 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2004 - Diploma of Financial Services (Financial Planning) - - AMP Financial Planning Pty Ltd ~ 2010 - Masters of Business in Finance - - University of Technology Sydney ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Kerry Bosnich | 2017 | 2002 - Diploma of Business Studies - Diploma (AQF 5) - TAFE SA ~ 2004 - Bachelor of Commerce - - Flinders University ~ 2015 - RG146 Compliance and The SMSF Assoc SSA Exam - - University of Adelaide ~ 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Kim Robert Bigg | 2011 | 2004 - Bachelor of Commerce - - Adelaide University ~ 2006 - CA - - CAANZ ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - SMSF Specialist Advisor - Professional Designations - SMSF Professionals Association ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Miranda Eleanor Moyle | 2004 | 1995 - Bachelor of Commerce - - University of Adelaide ~ 2004 - Diploma of Financial Planning - - Financial Planning Association ~ 2007 - CFP Certification Program - - Financial Planning Association ~ 2021 - Accredited Aged Care Professional - Professional Designations - Aged Care Steps |
| Nicholas Paul Connelly | 2010 | 2008 - Diploma of Financial Services - Diploma (AQF 5) - FINSIA ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan ~ 2014 - Master of Applied Finance - - Kaplan |
| Peta Ann Nunn | 2004 | 2004 - Diploma of Financial Planning - - Financial Planning Association ~ 2007 - CFP Certification Program - - Financial Planning Association ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Rebecca Elizabeth Jayne | 2013 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Education Pty Limited ~ 2015 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Education Pty Limited ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Education Pty Limited ~ 2020 - Graduate Diploma of Financial Services (Financial Planning) - Graduate Diploma (AQF 8) - Kaplan Education Pty Limited ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Ltd |
| Samantha Harrison | 2006 | 2005 - Bachelor of Finance - - University of Adelaide ~ 2007 - Graduate Diploma of Charted Accounting - - Institute of Chartered Accountants ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan ~ 2015 - CFP Certification Program - - Financial Planning Association of Australia |
| Samuel Garreffa | 2010 | 2007 - Bachelor of Business (Commercial Law) - - The University of South Australia ~ 2010 - Graduate Diploma of Financial Planning - - Kaplan Professional ~ 2010 - Master of Applied Finance - - Kaplan Professional ~ 2012 - Accredited Estate Planning Strategist (AEPS®) - - Financial Planning Association of Australia (FPA) ~ 2013 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2013 - Certified Financial Planner (CFP®) - - Financial Planning Association of Australia (FPA) ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Simon Mark Wotherspoon | 2010 | 2002 - Bachelor of Management - - University of South Australia ~ 2008 - Graduate Certificate in Financial Planning - - FINSIA ~ 2010 - Graduate Diploma of Applied Finance - - KAPLAN Professional ~ 2011 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2013 - SMSF Specialist Advisor - - SMSF Association |
| Simon Trent Hele | 1995 | 1993 - Bachelor of Education (Upper Primary/Lower Secondary) - Bachelor Degree (AQF 7) - The Flinders University of South Australia ~ 2004 - Diploma of Financial Planning - - Financial Planning Association ~ 2011 - CFP Certification Program - - Financial Planning Association ~ 2017 - RG146 Licensing Compliance: Self-managed Superannuation Funds - Other - Financial Education Professionals ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |