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 | Bachelor of Business (Finance) - University of South Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Profiessional |
| Adam Steven Niksic | 2023 | Bachelor of Business - RMIT |
| Anthony Michael Riding | 1999 | Advanced Diploma of Financial Services - Kaplan Professional ~ Bachelor of Commerce - University of Ballarat ~ Diploma of Financial Services - Kaplan Professional |
| Ashley Warren Baum | 2006 | Bachelor of Commerce (Economics & Financial Planning) - Curtin University of Technology ~ Certified Financial Planner (CFP) - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Benjamin James Lembo | 2018 | Bachelor of Science (Mathematics) - RMIT ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Brendan Brennan | 2023 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Bruce Andrew Stuart Cooper | 2012 | Advanced Diploma in Financial Planning - Kaplan ~ Bachelor of Accounting Science - University of South Africa ~ Diploma in Financial Planning - Kaplan |
| Christopher John Jas | 2006 | Advanced Diploma of Financial Services - Tribeca Learning Australia ~ Bachelor of Commerce (Accounting and Finance) - Murdoch University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services - Tribeca Learning Australia |
| Christopher Oates | 2014 | Bachelor of Commerce - University of Canberra ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - TAFE NSW - St George Campus (Online) ~ Life Risk Specialist - Financial Planning Association |
| Daniel Gilholme | 2023 | Bachelor of Business (Accounting) - Swinburne University of Technology ~ Graduate Diploma of Chartered Accounting - Chartered Accountants Australian and New Zealand ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| David Mcarthur | 2004 | Bachelor of Economics (Politics Major) - Flinders University of South Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Securities Institute of Australia |
| Dean Anthony Cooper | 2004 | Diploma - Financial Planning - Integratec |
| Evan Tsipas | 2006 | Bachelor of Commerce (Finance and Economics) - University of Melbourne ~ Bachelor of Science (Statistics) - University of Melbourne ~ Chartered Financial Analyst - CFA Institute ~ Diploma of Financial Services - Deakin University |
| Grace Xiao Fen Bacon | 2018 | Bachelor of Commerce - Sydney University ~ Certified Financial Planner - Deakin University |
| James Jung | 0 | Bachelor of Commerce (International Business and Marketing) - Macquarie University ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Joshua Goran Kwan | 2023 | Bachelor of Commerce (Economics and Finance) - Curtin University of Technology ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Katherine Louise Tierney | 2006 | Bachelor Degree - Commerce - Deakin University ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Certified Practicing Accountant - CPA Australia ~ Master of Applied Finance - Macquarie Univversity |
| Kristina Madden | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Krzysztof Andrzej Cynkar | 2012 | Bachelor of Commerce (Accounting) - Adelaide University ~ Bachelor of Finance - Adelaide University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Masters of Applied Finance - Kaplan Professional |
| Lachlan Alexander Booth | 2023 | Bachelor of Commerce (Economics (single major), Marketing) - University of Western Australia ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Lindsay Gordon Walker | 1988 | Bachelor of Economics (Hon) - James Cook University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - RMIT |
| Nicholas John Webb | 2011 | Bachelor of Business - Queensland University of Technology ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Kaplan ~ Master of Business - Queensland University of Technology ~ Master of Business Administration - Queensland University of Technology |
| Olivia Louise Hughes | 2010 | Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Diploma in Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Owen Faulkner | 2019 | Bachelor of Commerce (Economics and Financial Planning) - Curtin University |
| Paul Andrew Lindley | 2004 | Advanced Diploma of Financial Services - Kaplan Professional ~ Bachelor of Business Administration - Sydney University ~ Diploma of Financial Services - Deakin University ~ SMSF Specialist Knowledge - SMSF Association |
| Robert James Zammit | 2011 | Bachelor of Commerce (Economics and Financial Planning) - Curtin University of Technology ~ Certified Financial Planner - Financial Planning Association of Australia |
| Rodney Wade Edwards | 1994 | Bachelor of Business - Curtin University of Technology ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia |
| Sam James Hughes | 2018 | Bachelor of Commerce (Finance and Economics) - University of Western Australia ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending Specialist - Kaplan |
| Scott James Mcalees | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business - Edith Cowen University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Sean Anthony Walsh | 2018 | Bachelor of Accounting - Charles Sturt University ~ Diploma of Financial Planning - Kaplan |
| Simon Robinson | 2013 | Bachelor of Comm (Financial Planning) - University of Wollongong ~ Certified Financial Planner - FPA |
| William John Fernance | 0 | Bachelor of Finance - The Australian National University ~ Graduate Diploma of Financial Planning - Kaplan Professional |