This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients 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; and
superannuation; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
interests in managed investment schemes limited to:
own managed investment scheme only; and
applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients 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; and
superannuation
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aleesha Joy Edmonds | 2018 | Certificate IV in Finance and Mortgage Broking - Mentor Education ~ DFP5v3 Tax for Financial Advising - Kaplan Professional ~ General Insurance Adviser (General Advice) - Mentor Education ~ Life Insurance Adviser (Personal Advice) - Mentor Education ~ TASACLv1 Commercial Law - Kaplan Professional |
| Alexander Ryan Steer | 2014 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Services - Integrity Education Group ~ FASEA Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending - Kaplan |
| Bharat Sareen | 2015 | Advanced Financial Planning - Kaplan Professional Education ~ Bachelor of Business (Accounting) - Queensland University of Technology ~ DFP5v1 Tax for Financial Advising - Kaplan Professional Education ~ Diploma of Financial Planning - Kaplan Professional ~ Estate Planning - Kaplan Professional Education |
| Jarrod Bailey | 2020 | Advanced Diploma of Financial Planning - Mentor Education ~ Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Services - Mentor Education ~ Diploma of Financial Services - Mentor Education ~ FASEA - FASEA ~ FASEA - FASEA ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Robert Anthony Zappulla | 2018 | Advanced Diploma of Financial Planning - Mentor ~ Bachelor of Business - Victoria University ~ Diploma of Financial Planning - Mentor Education ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor |
| Sara Jane Ritchie | 2007 | Advanced Diploma of Financial Planning FNS60404 - Kaplan Australia ~ Diploma Financial Services (Financial Planning) FNS50804 - MLC ThreeSixty ~ Master of Financial Planning - Kaplan Australia ~ RG146 Margin Lending - MLC ThreeSixty |
| Sophia Maree Atkinson | 2000 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University ~ Life Risk Specialist - Financial Planning Association Australia ~ Master of Applied Finance (Estate Planning) - Charles Surt University ~ Self Managed Superannuation Funds - Kaplan Professional |
| Suzanne Forte | 2018 | FNS50615 Diploma Of Financial Planning - Kaplan Professional ~ RG146 - Kaplan Professional ~ Responsible Manager Fundamentals - Financial Education Professionals |
| Thomas Edward Scardifield | 2013 | Advanced Diploma Financial Planning - Kaplan Professional ~ Diploma Financial Planning - Kaplan Professional ~ FASEA Exam - FASEA ~ Self Managed Superannuation Funds - Kaplan Professional |
| Zuan Chen | 2010 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional ~ TASA and the TPB Code of Professional Conduct - Kaplan Professional ~ Tax (financial) adviser - Tax Practitioners Board |