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;
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;
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 |
|---|---|---|
| Andrew Harrison | 2000 | Certified Financial Planner - Financial Planning Association of Australia |
| Andrew Lippiatt | 2004 | Diploma of Financial Services (Financial Planning) - Integratec ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - International Institute of Technology |
| Brett John Kelly | 2009 | FNS40811 - Certificate IV in Finance and Mortgage Broking - Kaplan Professional Education ~ FNS60404 - Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Duncan Murray Charles Macintosh | 1999 | DFP 1 - Introduction to Financial Planning - Financial Planning Association ~ DFP 2 - Risk Management & Insurance Planning - Financial Planning Association ~ DFP 3 - Investment Planning 1 - Integratec ~ DFP 4 - Superannuation and Retirement Planning - Integratec ~ Margin Lending and Geared Investments - Kaplan |
| Fernando Gomes Casanova | 2003 | Advanced Diploma of Financial Services (Financial Planning) - AMP Limited ~ Certificate IV Financial Services (Finance/Mortgage Broking) - Tribeca ~ Diploma of Finance and Mortgage Broking Management - Institute of Strategic Management ~ Diploma of Financial Services (Financial Planning) - AMP Limited ~ Graduate Certificate in Financial Planning - Griffith University |
| George Pereira | 2004 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Accredited Listed Product Adviser Program - Kaplan Professional ~ Diploma Financial Services (Financial Planning) - Tribeca ~ Diploma Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Master of Commerce (Financial Planning) - University of Western Sydney ~ Master of Commerce (Financial Planning) - University of Western Sydney ~ Self Managed Super Funds - Kaplan Professional ~ Self Managed Super Funds - Kaplan Professional |
| Jacobus Johannes Folscher | 2016 | Life insurance Adviser (Personal Advice) - Mentor Education |
| John Kiley | 1994 | Bachelor of Commerce - Australian National University ~ Certificate IV in Credit Management - Kaplan Education ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan ~ Principles in Self Managed Superannuation Funds - International Institute of Technology |
| Katherine Spitzkowsky | 2018 | Bachelor of Business (Financial Planning) - RMIT University |
| Lachlan Alexander Reynolds | 1989 | DFP 1, DFP3, DFP4, DFP6 - Financial Planning Association ~ Margin Lending and Geared Investments - Kaplan ~ Risk Management - Kaplan ~ Taxation Planning - Integratec |
| Lee James Forde | 2000 | Bachelor of Business (Accountancy) - Royal Melbourne Institute of Technology ~ Certified Financial Planner - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning (1-8) - Financial Planning Association of Australia (FPA) ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Specialist Self Managed Superannuation Funds - International Institute of Technology |
| Louise Laing | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Lynette Murray | 1998 | ASX Listed Products Accredited Course (LPAC) - Alpha Structred Investments Pty Ltd ~ Certified Financial Planner - Financial Planning Association ~ Masters of Financial Planning - University of Southern Queensland ~ SMSF Specialist Adviser - SMSF Association |
| Maxwell Reinhardt | 2005 | Bachelor of Economics (Honours) - University of Sussex UK ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - Finsia Education ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services - Securities Institute ~ Self Managed Super Funds - Kaplan |
| Michael Alan Wilson | 2014 | Cert IV in Finance & Mortgage Broking - Australian College of Professionals ~ Diploma of Finance & Mortgage Broking - Australian College of Professionals ~ Diploma of Financial Planning - Australian College of Professionals |
| Paul David Michael Gillmore | 2007 | Advanced Diploma of Financial Planning - Mentor Education ~ Certificate IV Financial Services (Mortgage Broking) - Intellitrain ~ Diploma of Financial Services - Dover Financial Training ~ Margin Lending & Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Paul Johnson Jayashekar | 2004 | Certificate IV in Finance and Mortgage Broking - Kaplan ~ Margin Lending and Geared Investments - Kaplan ~ PS 146 - Integratec |
| Qian Wang | 2014 | Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Applied Economics (International) - University of Adelaide |
| Quentin Russell Matthew Moncrieff | 2013 | Bachelor of Business (International Business) - James Cook University ~ Diploma of Financial Planning FNS50610 - Kaplan Australia ~ RG146 Margin Lending - Kaplan Australia ~ RG146 Securities Derivatives & Managed Investments - Kaplan Australia |
| Raymond Hiung Ming Kan | 2001 | Bachelor of Commerce - University of Western Sydney ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ Graduate Diploma of Financial Planning - FINSIA ~ Margin Lending Skills Accreditation - Western Sydney University |
| Sandra Bowley | 1986 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Satendra Varma | 2002 | Bachelor of Commerce - Curtin University ~ Diploma of Financial Advising - Securities Institute ~ Self Managed Superannuation Funds - International Institute of Technology |
| Shayne John French | 1999 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - The National Finance Institute ~ Certified Financial Strategist - Association of Independently Owned Financial Professionals ~ Diploma of Financial Services (Financial Planning) - Integratec |
| Yasser Sam EL Shammaa | 1993 | Advanced Diploma of Financial Services (Financial Planning) - Integratec ~ Certificate IV in Finance and Mortgage Broking - Kaplan ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - International Institute of Technology ~ TASA and the TPB Code of Professional Conduct - Kaplan |