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 | Bachelor of Science (Pure Mathematics) - University of Queensland ~ Masters of Financial Planning - University of the Sunshine Coast |
| April Shorter | 2022 | Bachelor of Commerce (Financial Planning) - University of the Sunshine Coast |
| Barnaby James Proctor | 2012 | Bachelor of Business (Finance & Economics) - Edith Cowan University ~ Diploma of Financial Planning - Kaplan Professional Education |
| Craig William Thwaites | 2003 | Advanced Diploma Financial Planning - Kaplan ~ Bachelor of Business - Swinburne College of Technology ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Masters of Business Administration (MBA) - Deakin University |
| Daniel Khreish | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Holmesglen ~ Diploma of Business - Holmesglen Institute ~ Diploma of Financial Services (Financial Planning) - Holmesglen Institute |
| Dean Nigel Whiting | 1999 | ASX Accredited Listed Products Adviser - Kaplan ~ Diploma of Finance/Mortgage Broking Management - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Dean Wansbrough | 2015 | Bachelor of Business (Accounting & Finance) - Swinburne University of Technology ~ Diploma of Financial Planning - Kaplan Professional |
| Henry HO | 0 | Bachelor of Business (Accounting) - Monash University ~ Bachelor of Business (Banking and Finance) - Monash University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| John Tsiros | 1998 | Bachelor of Business (Accountancy) - RMIT ~ CPA Post Graduate Course - CPA Australia ~ Diploma of Financial Planning - Deakin University ~ SMSF Strategies RG 146 Accreditation - SMSF Strategies & Terra Cordis |
| Justin Smaluch | 2018 | Advanced Diploma of Financial Services - Kaplan ~ Bachelor of Commerce (Entrepreneurship and Innovation) - Swinburne University ~ Diploma of Financial Services - Kaplan ~ Diploma of Management - Swinburne University ~ Frontline Management - Swinburne University |
| Kenneth Alexander Allan | 1986 | Certified Financial Planner - FPA ~ Diploma of Financial Planning - Deakin University |
| Lachlan Keenan | 2018 | Bachelor of Commerce (Financial Planning) (Accounting) - University of the Sunshine Coast |
| Laura Ann Kelly | 2018 | Bachelor of Business (Financial Planning) - RMIT |
| Leah Newman | 2018 | Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Martin Smith | 2018 | Applied Finance and Investment - FINSA ~ Bachelor of Business (Economics and Finance) - RMIT ~ Certified Investment Management Analyst (CIMA) - Investment Management Consultants Association ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Michael Wallace | 2018 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Accounting and Finance - Swinburne University of Technology ~ Certified Financial Planner - Financial Planning Association |
| Scott Clayton Daubeny | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ SMSF Strategies RG 146 Accreditation - SMSF Strategies & Terra Cordis |
| Simon Michael Burgess | 2001 | Diploma of Financial Planning - Kaplan |
| Trevor John Forrest | 1999 | Certificate in Financial Markets - The Securities Institute of Australia ~ Diploma of Financial Planning (DFP1-8) - Financial Planning Association of Australia ~ Margin Lending and Geared Investments - Kaplan Professional Education |