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;
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;
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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Christopher Cabrol | 2025 | 2021 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2023 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Erica Williams | 2014 | 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Glen Andrew Boath | 1989 | 1996 - Bachelor of Business (Finance) - - Northern Territory University ~ 2000 - CFP - - FPA ~ 2000 - Diploma of Financial Planning - - Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan |
| Helen Joyce | 2008 | 2007 - Diploma of Financial Services (Financial Planning) - - Tribeca |
| Marco Giacomo Pandini | 2016 | 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Education Pty Ltd ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Education Pty Ltd ~ 2021 - Graduate Diploma in Stockbroking and Financial Advising - Graduate Diploma (AQF 8) - Western Sydney University |
| Matthew Harrington | 2007 | 2007 - Advanced Diploma of Financial Services (Financial Planning) - - ThreeSixty Education & Training ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Michael Toohey | 2009 | 1993 - Bachelor of Business (Agricultural Commerce) - Bachelor Degree (AQF 7) - The University of New England ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Financial Planning Association of Australia ~ 2015 - SMSF Specialist Advisor - - SMSF Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Sigmone Bennion | 2013 | 1995 - Bachelor of Commerce - Economics and Finance - Bachelor Degree (AQF 7) - Western Sydney University ~ 2000 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia Limited ~ 2002 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Ltd ~ 2011 - Provide Advice in Margin Lending FNS50804 - Other - GWM Adviser Services Ltd t/a Advice Education ~ 2020 - Ethics & Professionalism in Financial Advice FPC002B - Bridging Course - Ethics - Kaplan Education Pty Ltd t/a Kaplan Professional RTO 90116 |