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 clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alison Maree Henderson | 1997 | 1995 - Bachelor of Commerce (Economics and Accounting) - Bachelor Degree (AQF 7) - University of Wollongong ~ 1997 - Master of Commerce (Economics) - Masters Degree (AQF 9) - University of Wollongong ~ 1999 - Certified Financial Planner - Professional Designations - FAAA ~ 2001 - Master of Commerce (Financial Planning) - Masters Degree (AQF 9) - University of Western Sydney ~ 2015 - Diploma of Finance and Mortgage Broking - Diploma (AQF 5) - Kaplan |
| Breeana Simone O'donnell | 2024 | 2022 - Commerce (Financial Planning and Accounting) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2023 - Ethics and Professionalism - Bridging Course - Ethics - Kaplan |
| Clare Eileen Hurley | 2010 | 2007 - Bachelor of Commerce (Finance and Economics) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2009 - Masters of Commerce (Financial Planning) - Masters Degree (AQF 9) - University of Western Sydney ~ 2017 - Certified Financial Planner - Professional Designations - FAAA ~ 2022 - Aged Care Specialist - Professional Designations - Aged Care Steps |
| Daniel James Abela | 2000 | 1999 - Bachelor of Commerce (Economics) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2003 - Masters of Commerce (Financial Planning) - Masters Degree (AQF 9) - University of Western Sydney ~ 2005 - Certified Financial Planner - Professional Designations - FAAA |
| Danielle Maree Kelly | 1997 | 1994 - Bachelor of Commerce (Accounting and Management) - Bachelor Degree (AQF 7) - University of Wollongong ~ 1999 - Certified Financial Planner - Professional Designations - FAAA ~ 1999 - Diploma of Financial Planning - Diploma (AQF 5) - FAAA ~ 2003 - Certified Practising Accountant (Financial Planning Speciaiist - Professional Designations - CPA Australia |
| David Timothy Richardson | 1998 | 1997 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - Univeristy of Wollongong ~ 1998 - Master of Commerce (Finance) - Masters Degree (AQF 9) - University of Wollongong ~ 2000 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Financial Services Institute of Australia ~ 2003 - Certified Financial Planner - Professional Designations - FAAA ~ 2008 - Certified Practising Accountant - Professional Designations - CPA Australia |
| Dianne Jean Richardson | 1982 | 1969 - Accountancy Certificate - Certificate (AQF 1-4) - TAFE ~ 1984 - Certified Practising Accountant - Professional Designations - CPA Australia ~ 1995 - Certified Financial Planner - Professional Designations - FAAA ~ 1995 - Diploma of Financial Planning - Diploma (AQF 5) - FAAA |
| Djordje Uzelac | 2023 | 2017 - Bachelor of Commerce (Economics and Finance) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2023 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Jacob Jeremiah Robinson | 2025 | 2022 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Martin Blair Shipton | 2022 | 2015 - Bachelor of Commerce (Economics and Finance) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Mathew Anthony Camkin | 2017 | 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2018 - Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2019 - Certified Financial Planner - Professional Designations - FAAA ~ 2025 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Nathan Jay Purnell | 2017 | 2011 - Bachelor of Media and Communication Studies (Marketing) - - University of Wollongong ~ 2017 - Master of Professional Accounting - Masters Degree (AQF 9) - University of Wollongong ~ 2018 - Diploma of Financial Planning - - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2024 - Certified Financial Planner - Professional Designations - FAAA |
| Sophie Papadimas | 0 | 2019 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |