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;
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:
issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
derivatives; and
arranging for another person to issue, acquire, vary or dispose of a financial product to wholesale clients only in respect of the following classes of financial products:
securities; 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;
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;
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Brent Charles Quinn | 2010 | 2000 - Bachelor of Business Marketing Major - - Swinburne University ~ 2010 - Diploma of Financial Planning - - Mentor Education Group ~ 2015 - Self Managed Super Fund - - Kaplan ~ 2024 - Graduate Diploma of Financial Planning (GDFP19) - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - Taxation for Financial Planning - Other - Kaplan |
| Cindy Excell | 2006 | 1999 - Bachelor of Economics (Accounting) - Bachelor Degree (AQF 7) - Xiamen University ~ 2003 - Masters of Applied Finance - Masters Degree (AQF 9) - Macquarie University ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2011 - Certified Financial Planner - Professional Designations - FAAA |
| Dylan James Cresswell | 2006 | 2006 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Victoria University ~ 2007 - Diploma of Financial Services - Diploma (AQF 5) - Tribeca ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2016 - 5 Unit CFP Certification Program - Professional Designations - Financial Advice Association of Australia (FAAA) ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jarrod Kevin Rodda | 2018 | 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology ~ 2022 - CFP - Financial Planning Association - Professional Designations - FPA ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2023 - Tax for Financial Advising - Other - Kaplan |
| Livio Caiolfa | 2001 | 2000 - Bachelor of Business - Accounting and Banking & Finance - Bachelor Degree (AQF 7) - Monash University ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Mentor Education Group ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Marcus John Ainger | 2008 | 2004 - Bachelor of Business B&F - Bachelor Degree (AQF 7) - Monash ~ 2008 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Finsia ~ 2013 - Certified Financial Planner - Professional Designations - FPA ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Mark Johnson | 1996 | 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Finsia ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Michelle Elaine Bromley | 2000 | 1995 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - RMIT ~ 2003 - Diploma in Financial Planning - Diploma (AQF 5) - Financial Advice Association Australia (FAAA) ~ 2007 - 5 Unit CFP Certification Program - Professional Designations - Financial Advice Association of Australia (FAAA) ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Ryan Van Vliet | 2018 | 2018 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Autralis College ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |