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;
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 |
|---|---|---|
| Brenda Anne Lennon | 2018 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Economics - Sydney University ~ Certificate IV in Bookkeeping - TAFE ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma in Investment and Applied Finance - FINSIA |
| Brendon Matthew Vade | 2009 | Bachelor of Business Administration - Macquarie University ~ Certified Financial Planner - Deakin University ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Professional Certificate of Self Managed Superannuation Funds - University of Adelaide |
| Christie Britten | 2018 | Advanced Diploma of Financial Planning (FNS60415) - Kaplan Education Pty Ltd ~ Diploma of Financial Services (FNS50104) - Finsia Education ~ Ethics & Professionalism - Griffith University ~ Masters of Financial Planning - Griffith University ~ Tax for Financial Advising - Kaplan Education Pty Ltd |
| Joseph Portelli | 1998 | Bachelor of Economics - University of Sydney ~ Certificate - Margin Lending & Geared Investments - Kaplan ~ Certificate of Applied SMSF Advice - Australian Executor Trustees ~ Diploma of Financial Planning - CFP - Deakin University ~ Diploma of Superannuation Management - Association of Superannuation Funds of Australia |
| Katherine Jane Cramsie | 2004 | Bachelor of Business - University of Technology ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia |
| Lisa Baumann | 2024 | Bachelor of Business, Major in FInance and Financial Planning - Charles Sturt University |
| Penny Chai | 2000 | Bachelor of Economics - University of Sydney ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Diploma of Superannuation Management - Association of Superannuation Funds of Australia Ltd (ASFA) |
| Peter Howard Beins | 2006 | Bachelor of Engineering - University of NSW ~ Graduate Diploma of Financial Planning - FINSIA ~ Master of Business Administration - University of Technology, Sydney ~ SSA - SMSF Specialist Accreditation - SMSF |
| Que Hong Di-leo | 2004 | Bachelor of Commerce (Economics and Finance) - University of Sydney ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma in Financial Planning - Securities Institute |
| Rick Walker | 2007 | Bachelor of Economics - Macquarie University ~ Certified Financial Planner (CFP) - FPA Australia ~ Certified Practising Accountant (CPA) - CPA Australia ~ Diploma in Financial Planning - CPA Australia ~ Graduate Diploma in Applied Finance & Investment - FINSIA |
| Tamsin Johanna Mcgarry | 2018 | Advanced Diploma of Financial Services FNS 60404 - Kaplan Professional ~ Bachelor of Economics - Macquarie University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services FNS50804 - Kaplan Professional |