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 limited to:
old law securities options contracts and warrants;
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:
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 limited to:
old law securities options contracts and warrants;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam James Schild | 2023 | 2016 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - University of South Australia ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Profiessional |
| Adam Steven Niksic | 2023 | 2021 - Bachelor of Business - Bachelor Degree (AQF 7) - RMIT ~ 2024 - Margin Lending - Certificate (AQF 1-4) - Kaplan Professional |
| Anthony Michael Riding | 1999 | 2000 - Bachelor of Commerce - - University of Ballarat ~ 2004 - Diploma of Financial Services - - Kaplan Professional ~ 2008 - Advanced Diploma of Financial Services - - Kaplan Professional |
| Ashley Warren Baum | 2006 | 2006 - Bachelor of Commerce (Economics & Financial Planning) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2010 - Margin Lending & Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2012 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association ~ 2013 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Benjamin James Lembo | 2018 | 2014 - Bachelor of Science (Mathematics) - - RMIT ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Bruce Andrew Stuart Cooper | 2012 | 1999 - Bachelor of Accounting Science - - University of South Africa ~ 2012 - Diploma in Financial Planning - - Kaplan ~ 2013 - Advanced Diploma in Financial Planning - - Kaplan ~ 2020 - Certified Financial Planner - Advanced Diploma (AQF 6) - Financial Planning Association |
| Christopher John Jas | 2006 | 2002 - Bachelor of Commerce (Accounting and Finance) - - Murdoch University ~ 2005 - Diploma of Financial Services - - Tribeca Learning Australia ~ 2006 - Advanced Diploma of Financial Services - - Tribeca Learning Australia ~ 2012 - Certified Financial Planner - - Financial Planning Association of Australia |
| Christopher Oates | 2014 | 2011 - Bachelor of Commerce - - University of Canberra ~ 2014 - Diploma of Financial Planning - - TAFE NSW - St George Campus (Online) ~ 2017 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2018 - Life Risk Specialist - Professional Designations - Financial Planning Association |
| David Mcarthur | 2004 | 1993 - Bachelor of Economics (Politics Major) - - Flinders University of South Australia ~ 2002 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2011 - Certified Financial Planner - - Financial Planning Association of Australia |
| Dean Anthony Cooper | 2004 | 2002 - Diploma - Financial Planning - - Integratec |
| Evan Tsipas | 2006 | 2002 - Bachelor of Commerce (Finance and Economics) - - University of Melbourne ~ 2002 - Bachelor of Science (Statistics) - - University of Melbourne ~ 2002 - Diploma of Financial Services - - Deakin University ~ 2007 - Chartered Financial Analyst - - CFA Institute |
| Grace Xiao Fen Bacon | 2018 | 1997 - Bachelor of Commerce - - Sydney University ~ 2002 - Certified Financial Planner - - Deakin University |
| Joshua Goran Kwan | 2023 | 2019 - Bachelor of Commerce (Economics and Finance) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Katherine Louise Tierney | 2006 | 2005 - Bachelor Degree - Commerce - - Deakin University ~ 2010 - CFP - Certified Financial Planner - - Financial Planning Association of Australia ~ 2015 - Master of Applied Finance - - Macquarie Univversity ~ 2020 - Certified Practicing Accountant - Professional Designations - CPA Australia |
| Kristina Madden | 2017 | 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Krzysztof Andrzej Cynkar | 2012 | 2006 - Bachelor of Commerce (Accounting) - - Adelaide University ~ 2007 - Bachelor of Finance - - Adelaide University ~ 2009 - Graduate Diploma of Financial Planning - - Kaplan Professional ~ 2010 - Masters of Applied Finance - - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Lachlan Alexander Booth | 2023 | 2018 - Bachelor of Commerce (Economics (single major), Marketing) - Bachelor Degree (AQF 7) - University of Western Australia ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Lindsay Gordon Walker | 1988 | 1978 - Bachelor of Economics (Hon) - - James Cook University ~ 1995 - Certified Financial Planner - - Financial Planning Association of Australia ~ 1996 - Diploma of Financial Planning - - RMIT |
| Nicholas Louis Tyndall | 2016 | 2013 - Bachelor of Commerce (Accounting) - - Curtin University ~ 2016 - Diploma of Financial Planning - - Monarch Institute |
| Owen Faulkner | 2019 | 2017 - Bachelor of Commerce (Economics and Financial Planning) - Bachelor Degree (AQF 7) - Curtin University ~ 2020 - Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan Professional |
| Paul Andrew Lindley | 2004 | 1998 - Bachelor of Business Administration - - Sydney University ~ 2004 - Diploma of Financial Services - - Deakin University ~ 2011 - Advanced Diploma of Financial Services - - Kaplan Professional ~ 2014 - SMSF Specialist Knowledge - - SMSF Association |
| Robert James Zammit | 2011 | 2007 - Bachelor of Commerce (Economics and Financial Planning) - - Curtin University of Technology ~ 2013 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2024 - Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan Professional |
| Rodney Wade Edwards | 1994 | 1991 - Bachelor of Business - - Curtin University of Technology ~ 1994 - Graduate Diploma in Applied Finance and Investment - - Securities Institute of Australia ~ 1998 - Certified Financial Planner - - Financial Planning Association of Australia |
| Sam James Hughes | 2018 | 2016 - Bachelor of Commerce (Finance and Economics) - - University of Western Australia ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2021 - Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Margin Lending Specialist - Diploma (AQF 5) - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Scott James Mcalees | 2016 | 2003 - Bachelor of Business - - Edith Cowen University ~ 2006 - Diploma of Financial Planning - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Sean Anthony Walsh | 2018 | 2015 - Bachelor of Accounting - - Charles Sturt University ~ 2017 - Diploma of Financial Planning - - Kaplan |
| Simon Robinson | 2013 | 2008 - Bachelor of Comm (Financial Planning) - - University of Wollongong ~ 2013 - Certified Financial Planner - - FPA |
| William John Fernance | 2024 | 2021 - Bachelor of Finance - Bachelor Degree (AQF 7) - The Australian National University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |