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 |
|---|---|---|
| Anna Dukeson | 2018 | 2000 - Bachelor of Science (Pure Mathematics) - - University of Queensland ~ 2008 - Masters of Financial Planning - - University of the Sunshine Coast |
| April Shorter | 2022 | 2019 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of the Sunshine Coast |
| Barnaby James Proctor | 2012 | 2007 - Bachelor of Business (Finance & Economics) - - Edith Cowan University ~ 2012 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2020 - LRS Life Risk Specialist - Professional Designations - Financial Planning Association of Australia ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Craig William Thwaites | 2003 | 2001 - Bachelor of Business - - Swinburne College of Technology ~ 2007 - Advanced Diploma Financial Planning - - Kaplan ~ 2012 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2013 - Masters of Business Administration (MBA) - - Deakin University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Daniel Khreish | 2008 | 2008 - Diploma of Business - - Holmesglen Institute ~ 2008 - Diploma of Financial Services (Financial Planning) - - Holmesglen Institute ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Holmesglen |
| Dean Nigel Whiting | 1999 | 2004 - Diploma of Financial Planning - - Kaplan ~ 2008 - Self Managed Superannuation Funds - - Kaplan ~ 2009 - ASX Accredited Listed Products Adviser - - Kaplan ~ 2012 - Diploma of Finance/Mortgage Broking Management - - Kaplan |
| Dean Wansbrough | 2015 | 2013 - Bachelor of Business (Accounting & Finance) - - Swinburne University of Technology ~ 2013 - Diploma of Financial Planning - - Kaplan Professional |
| Henry HO | 2024 | 2017 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Monash University ~ 2017 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| John Tsiros | 1998 | 1996 - Bachelor of Business (Accountancy) - - RMIT ~ 2002 - CPA Post Graduate Course - - CPA Australia ~ 2002 - Diploma of Financial Planning - - Deakin University ~ 2013 - SMSF Strategies RG 146 Accreditation - - SMSF Strategies & Terra Cordis |
| Justin Smaluch | 2018 | 2011 - Diploma of Management - - Swinburne University ~ 2011 - Frontline Management - - Swinburne University ~ 2014 - Bachelor of Commerce (Entrepreneurship and Innovation) - - Swinburne University ~ 2016 - Advanced Diploma of Financial Services - - Kaplan ~ 2016 - Diploma of Financial Services - - Kaplan |
| Kenneth Alexander Allan | 1986 | 1990 - Certified Financial Planner - - FPA ~ 1990 - Diploma of Financial Planning - - Deakin University |
| Lachlan Keenan | 2018 | 2018 - Bachelor of Commerce (Financial Planning) (Accounting) - - University of the Sunshine Coast |
| Lucas Hopkins | 0 | 2023 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University |
| Martin Smith | 2018 | 1997 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - RMIT ~ 2004 - Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSA ~ 2006 - Certified Investment Management Analyst (CIMA) - - Investment Management Consultants Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Michael Wallace | 2018 | 2014 - Bachelor of Accounting and Finance - - Swinburne University of Technology ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan ~ 2018 - Certified Financial Planner - Professional Designations - Financial Planning Association |
| Scott Clayton Daubeny | 2008 | 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - SMSF Strategies RG 146 Accreditation - - SMSF Strategies & Terra Cordis |
| Simon Michael Burgess | 2001 | 2010 - Diploma of Financial Planning - - Kaplan |
| Trevor John Forrest | 1999 | 1991 - Certificate in Financial Markets - - The Securities Institute of Australia ~ 2003 - Diploma of Financial Planning (DFP1-8) - - Financial Planning Association of Australia ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |