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 |
|---|---|---|
| Bryce Jonathan Collins | 1999 | 1991 - Bachelor of Business - - Swinburne Institute of Technology ~ 2002 - Diploma of Financial Planning - - Deakin University/ Financial Planning Association ~ 2004 - Certified Financial Planner - - Deakin University/ Financial Planning Association ~ 2004 - Self Managed Superannuation Funds - Other - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Christopher Michael Wright | 2018 | 2017 - TIER 1 MARGIN LENDING PERSONAL ADVICE - - KAPLAN ~ 2018 - TASACLV1 COMMERCIAL LAW - - KAPLAN ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - KAPLAN ~ 2024 - SMSF Specialist Advisor (SSA) - Other - SMSF ASSOCIATION |
| Christopher Parker | 2024 | 2022 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of New England |
| Denis James Heenan | 2004 | 2004 - Diploma of Financial Planning - - Financial Planning Association ~ 2006 - Certified Financial Planner - - Financial Planning Association ~ 2007 - Self Managed Superannuation Fund - Other - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Jason Birch | 2008 | 1993 - Bachelor of Commerce - - University of Western Sydney ~ 1997 - Chartered Accountants Program - - The Institute of Chartered Accountants ~ 2002 - Diploma of Financial Services - - Finsia ~ 2014 - MARGIN LENDING - - KAPLAN ~ 2014 - SELF MANAGED SUPER FUND ACCREDITED - - KAPLAN |
| Julie-ann Dougherty | 2007 | 2007 - Self Managed Super Fund Course - - Financial Essentials ~ 2009 - ASX Securities - - Kaplan ~ 2011 - Diploma of Financial Services (FP) - - Kaplan |
| Mark Carroll | 1998 | 2001 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2002 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Naomi Margaret Thompson | 2002 | 2005 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2006 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Paul Tarasenko | 2000 | 2001 - Diploma of Financial Planning - - FPA ~ 2004 - Self Managed Super Fund Course - - Tribeca ~ 2008 - ASX Securities - - Kaplan ~ 2011 - Margin Lending - - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Raymond William Gale | 2007 | 2003 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2005 - Master of Commerce - Masters Degree (AQF 9) - Deakin University ~ 2021 - SMSF Knowledge - Certificate (AQF 1-4) - Monarch Institute |
| Sean Browning | 2006 | 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2013 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2021 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |