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;
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:
interests in managed investment schemes limited to:
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;
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 |
---|---|---|
Aaron Patrick Fogarty | 2017 | Bachelor of Farm Management - University of Sydney ~ Diploma of Financial Planning - Mentor Education ~ Master of Commerce (Professional Accounting) - University of New England |
Alan Harold Klein | 2004 | Advanced Diploma of Financial Services (FinancialPlanning) FNS 60404 - Kaplan Professional Education ~ Certificate IV Finance and Mortgage Broking FNS40811 - AAMC Training Group ~ Certified Financial Planner 4 - FPA ~ RG146 Tier 1 Specialist Margin Lending Course - International Institute of Technology ~ Self Managed Superannuation Funds - Mentor Education |
Alex O'neill | 2014 | Bachelor of Business (International Business) - University of the Sunshine Coast (USC) ~ Diploma of Financial Planning - Integrity Education Group ~ Graduate Diploma in Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan ~ Self Managed Super Funds - Integrity |
Alison Joy Lees | 2017 | Bachelor of Arts/Bachelor of Commerce - Deakin University ~ Diploma in Financial Planning - International Institute of Technology (IIT) ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethic & Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Chartered Accounting - Institute of Chartered Accountants |
Andrew Phillip Morrison | 2016 | Bachelor of Business - CSU ~ RG146 - Generic Knowledge, Superannuation and SMSF - CPA Australia |
Angela Gay Wheatley | 2016 | Bachelor of Commerce Accounting - Curtin Universityof Technology ~ Diploma of Financial Planning - International Institute of Technology ~ Registered Tax Agent - Tax Practitioners Board ~ SMSF Strategies Specialist SMSF Adviser Training - Terra Cordis Pty Ltd |
Beau Mathew Gregory Lancaster | 2015 | /self Managed Superannuation Funds - Kaplan ~ Advance Diploma of Financial Planning - Mentor Education ~ Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - Mentor Education |
Bernadette Anne West | 2007 | Advanced Diploma of Financial Services(FNS60404) - Mentor ~ Bachelor of Commerce - Australian National University ~ Diploma of Financial Planning(FNS50804) - CPA Australia ~ Self Managed Superannuation Funds - Kaplan |
David Lennon | 2003 | Bachelor of Business - Edith Cowan University ~ Diploma in Financial Planning - Kaplan Professional ~ Superannuation & SMSF's Certificate of Completion - Kaplan Professional |
Emily Hewitt | 2016 | Bachelor of Business (Accounting) - Charles Sturt University ~ CPA Program - CPA Australia ~ FNS50611 Diploma of Financial Planning - Pinnacle Financial Academy ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Gregory Politis | 2004 | Associate Diploma in Business (Accounting) - Hunter Institute of Technology ~ Bachelor of Commerce (Accounting) - University of Newcastle ~ CFP Education Program - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Self Managed Superannuation Funds Statement of Attainment - Kaplan Education |
Guy Timothy Williams | 2015 | Diploma of Financial Planning - Mentor Education ~ Graduate Certificate in Finance and Investments - FINSIA ~ Graduate Diploma of Applied Finance and Investments - FINSIA ~ Self Managed Super Funds - AAMC Training Group |
Jack Bartholomew Sharpe | 2023 | Bachelor of Mathematics - University of Newcastle ~ Graduate Diploma of Financial Planning - Kaplan |
Jennifer Karen Woods | 2018 | Bachelor of Economics - Macquarie University ~ Diploma of Financial Planning - Kaplan Professional ~ Statement of Attainment Superannuation and Self Managed Superannuation Funds - Kaplan Professional |
Jock Alexander Evans | 2022 | Graduate Diploma of Financial Planning - Kaplan Professional |
Jon Stuart Fletcher | 2016 | Bachelor of Commerce - University of Wollongong ~ Diploma of Financial Planning - Mentor Education ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
Joshua Anthony Cremona | 2018 | Bachelor of Commerce - Professional Accounting - Macquarie University ~ Diploma of Financial Planning - International Institute of Technology ~ Principles of Self Managed Superannuation Funds - International Institute of Technology |
Karen Liane Ridge | 2016 | Bachelor of Economics (Accounting) - Macquarie University ~ Diploma of Financial Planning - International Institute of Technology ~ SMSF Specialist Advisor - Self Managed Super Fund Association |
Linda Joy Kowalke | 2017 | Advanced Certificate in Management - TAFE NSW ~ Advanced Diploma of Accounting - TAFE NSW ~ Diploma in Financial Planning - International Institute of Technology ~ Master of Commerce (Professional Accounting) - University of New England ~ Principles in Self Managed Superannuation Funds - International Institute of Technology |
Marcus Gerard Walsh | 2003 | Advanced Diploma Financial Services (Financial Planning) - Kaplan Australia ~ Bachelor Commerce (Banking & Finance) - University of Canberra ~ Diploma Financial Services (Financial Planning) FNS5080 - Kaplan Australia ~ Tier 1 Margin Lending - Personal Advice - Kaplan |
Marissa Ann Bennett | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business - Edith Cowan University ~ Masters of Taxation - University of New South Wales ~ Superannuation & SMSF Statement of Attainment - Kaplan Professional |
Mark Joseph Valencic | 2013 | Diploma in Financial Planning - Kaplan Professional ~ Master of Accountancy - Charles Sturt University ~ Self Managed Superannuation Funds - Kaplan Professional |
Mary-anne Leonie Inglis | 2016 | CPA - CPA Australia ~ Diploma of Financial Planning - International Institute of Technology ~ Module 1 Financial Advice Foundation - CPA Australia ~ Registered Tax Agent - Tax Practitioners Board ~ SMSF Strategies Specialist SMSF Adviser Training - Terra Cordis Pty Ltd |
Melinda Jane Doidge | 2017 | Bachelor of Accounting/Information Systems - Central Queensland University ~ Diploma of Financial Planning - CPA Australia |
Nader Gariban | 2017 | Bachelor of Commerce (Accounting) - University of Western Sydney ~ CPA Program - Deaking University ~ Diploma of Financial Services (Financial Planning) - Intellitrain ~ Principles of Self Managed Superannuation Funds Certificate - International Institute of Technology (IIT) |
Neil William Marshall | 2016 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Bachelor of Commerce - University of Newcastle NSW ~ Diploma of Financial Planning - International Institute of Technology ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Principles in Self Managed Superannuation Funds - International Institute of Technology |
Nicholas Wayne Spencer | 2016 | Bachelor Of Commerce - University of Tasmania ~ Diploma of Finanical Planning - Integrity Education Group ~ SMSF Specialist - Integrity Education Group ~ SMSF Specialist Advisor - SMSF Association |
Peter Douglas Maundrell | 2004 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia Limited ~ Master of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
Peter Rizomiliotis | 2016 | Bachelor of Business (Accounting) - Victoria University ~ Diploma of Financial Planning - International Institute of Technology ~ Foundation Diploma of Financial Planning - Financial Planning Association of Australia Ltd ~ Principles in self Managed Superannuation Funds - International Institute of Technology |
Peter Scioscia | 2003 | Bachelor of Commerce - University of Wollongong ~ Diploma of Financial Planning - International Institute of Technology ~ Principles in Self Managed Superannuation Funds - International Institute of Technology |
Philip Alexander Smith | 2017 | CPA - CPA Australia ~ Diploma of Financial Planning - International Institute of Technology ~ Principles of Self-Managed Superannuation Funds - International Institute of Technology ~ Registered Tax Agent - Tax Practitioners Board |
Renae Anne Wilson | 2018 | Bachelor of Commerce with a major in Financial Accounting - The University of Newcastle ~ Diploma of Financial Planning - Mentor Education ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
Rhonda Annette Futterleib | 2017 | Bachelor of Economics - Macquarie University ~ Diplom in Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds Statement of Attainment - Kaplan Professional |
Ritesh Shankar | 2006 | Bachelor of Commerce - University Of Wollongong ~ Diploma of Financial Services (Finance/Mortgage Broking Management) - AAMC ~ Margin Lending - Pinnacle ~ Self Managed Super Fund Course - Kaplan |
Sally Elizabeth Callen | 2016 | Bachelor of Commerce - The University of Newcastle ~ Diploma of Financial Planning - International Institute of Technology ~ Master of Taxation - The University of NSW ~ Specialist Self Managed Superannuation Funds Course - International Institute of Technology |
Salvatore Santoro | 2018 | Certified Practising Accountant - CPA Australia ~ Derivatives - International Institute of Technology ~ Diploma of Financial Planning - International Institute of Technology ~ SMSF - Pinnacle Financial Services Academy ~ Securities - International Institute of Technology |
Scott Albert Millson | 2002 | Bachelor of Business (Financial Planning) - RMIT ~ Certified Financial Planner - FPA ~ SuperConcepts & ICFS Specialist SMSF - SuperConsepts |
Shane Matthew Mcgrath | 2016 | Bachelor of Commerce - University of Newcastle ~ Certified Practising Accountant - CPA ~ Diploma of Financial Planning - Mentor Education ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
Stewart David Temesvary | 2017 | Bachelor of Economics - Sydney University ~ Chartered Accountant - Institute of Chartered Accountants Australia & New Zealand ~ Diploma of Financial Planning - International Institute of Technology (IIT) ~ Principles in Self Managed Superannuation Funds - International Institute of Technology (IIT) |
Stuart Thomas Wolfe | 2006 | Bachelor of Commerce - University of Newcastle ~ Diploma of Financial Services (Financial Planning) - Finsia Education ~ Margin Lending & Geared Investments Statement of Attainment - Kaplan Professional ~ Master of Taxation - Curtin University ~ Self Managed Superannuation Funds Statement of Attainment - Kaplan Professional |
Timothy Michael Jennings | 2012 | Diploma of Finance and Mortgage Broking Management - The National Finance Institute ~ Diploma of Financial Services - Intellitrain ~ Master of Business - The University of Newcastle Australia |
Turgay Gungor | 2015 | Bachelor of Business - Edith Cowan University ~ Diploma of Financial Planning - Mentor Education ~ Specialist Self Managed Superannuation Fund - Mentor Education |
Tye Walter Olsen | 2017 | Bachelor of Commerce (Financial Accounting) - The University of Newcastle Australia ~ Diploma of Financial Planning - Kaplan ~ Diploma of Financial Services (Mortgage Broking) - The National Finance Institute |
William Ambrose Kelly | 2017 | Bachelor of Business (Accounting) - Deakin University ~ Diploma of Financial Planning - International Institute of Technology (IIT) ~ Specialist SMSF Certificate - International Institute of Technology (IIT) |