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 | 2017 - DFP5v3 Tax for Financial Advising - Certificate (AQF 1-4) - Kaplan Professional ~ 2018 - Life Insurance Adviser (Personal Advice) - - Mentor Education ~ 2018 - TASACLv1 Commercial Law - Certificate (AQF 1-4) - Kaplan Professional ~ 2019 - Certificate IV in Finance and Mortgage Broking - Graduate Certificate (AQF 8) - Mentor Education ~ 2020 - General Insurance Adviser (General Advice) - Certificate (AQF 1-4) - Mentor Education |
| Alexander Ryan Steer | 2014 | 2013 - Diploma of Financial Services - - Integrity Education Group ~ 2015 - Margin Lending - - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan ~ 2020 - FASEA Exam - Other - FASEA ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Bharat Sareen | 2015 | 2010 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Estate Planning - Other - Kaplan Professional Education ~ 2016 - DFP5v1 Tax for Financial Advising - Diploma (AQF 5) - Kaplan Professional Education ~ 2017 - Advanced Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education |
| Jarrod Bailey | 2020 | 2007 - Diploma of Financial Services - Diploma (AQF 5) - Mentor Education ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2020 - FASEA - Other - FASEA ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Robert Anthony Zappulla | 2018 | 1994 - Bachelor of Business - - Victoria University ~ 2018 - Advanced Diploma of Financial Planning - - Mentor ~ 2018 - Diploma of Financial Planning - - Mentor Education ~ 2019 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor |
| Sophia Maree Atkinson | 2000 | 2003 - Diploma of Financial Planning - - Deakin University ~ 2004 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2005 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2013 - Life Risk Specialist - - Financial Planning Association Australia ~ 2019 - Master of Applied Finance (Estate Planning) - Masters Degree (AQF 9) - Charles Surt University |
| Suzanne Forte | 2018 | 2018 - RG146 - - Kaplan Professional ~ 2019 - FNS50615 Diploma Of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - Responsible Manager Fundamentals - Other - Financial Education Professionals |
| Thomas Edward Scardifield | 2013 | 2012 - Diploma Financial Planning - - Kaplan Professional ~ 2014 - Advanced Diploma Financial Planning - - Kaplan Professional ~ 2015 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2020 - FASEA Exam - Other - FASEA |
| Zuan Chen | 2010 | 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2016 - TASA and the TPB Code of Professional Conduct - Professional Designations - Kaplan Professional ~ 2016 - Tax (financial) adviser - - Tax Practitioners Board ~ 2020 - Ethics and Professionalism in Financial Advice - Professional Designations - Kaplan Professional |