This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to wholesale and retail 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;
derivatives limited to:
old law securities options contracts and warrants;
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
provide general financial product advice to wholesale clients only for the following classes of financial products:
derivatives;
foreign exchange contracts;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale and retail clients in respect of the following classes of financial products:
derivatives; and
foreign exchange contracts; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale and retail clients 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;
foreign exchange contracts;
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 |
|---|---|---|
| Angela Maree Reade | 0 | 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2023 - Commercial Law - Certificate (AQF 1-4) - Kaplan Professional |
| Christian Tsiolis | 2000 | 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy Pty Ltd ~ 2010 - Self Managed Superannuation Funds - Other - Kaplan ~ 2012 - Margin Lending (knowledge only) - Diploma (AQF 5) - Pinnacle Financial Services Academy |
| Christopher Paul Seneviratne | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional |
| Daniel James Hill | 2017 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Graduate Certificate of Finance - Graduate Certificate (AQF 8) - Macquarie University ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - Master of Applied Finance - Masters Degree (AQF 9) - Macquarie University ~ 2018 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan Professional |
| Kurt Ohlsen | 2007 | 2003 - Bachelor of Agricultural Economics - Bachelor Degree (AQF 7) - The University of Sydney ~ 2007 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education |
| Phillip Win | 1999 | 1995 - Bachelor of Economics - Bachelor Degree (AQF 7) - Australian National University ~ 2000 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2001 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2011 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Professional |
| Rachael Arnold | 2015 | 2012 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional Education ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - Tier 1 Margin Lending - Personal Advice - Professional Designations - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Scott Ungaro | 2012 | 2008 - Masters in Personal Financial Planning - Bachelor Degree (AQF 7) - Texas Tech University ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2016 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2018 - Tier 1 Margin Lending - Personal Advice - Professional Designations - Kaplan Professional ~ 2021 - Ethics and Professional in Financial Advice - Bridging Course - Ethics - Kaplan Professional |