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 |
|---|---|---|
| Adrian Adam Alterator | 2012 | 2010 - Bachelor of Commerce (Financial Planning and Finance) - - University of Wollongong ~ 2010 - Bachelor of Law - - University of Wollongong ~ 2012 - Graduate Diploma of Legal Practice - - University of Wollongong |
| Alison Maree Henderson | 1997 | 1995 - Bachelor of Commerce (Economics and Accounting) - - University of Wollongong ~ 1997 - Master of Commerce (Economics) - - University of Wollongong ~ 1999 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2001 - Master of Commerce (Financial Planning) - - University of Western Sydney ~ 2015 - Diploma of Finance and Mortgage Broking - - Kaplan Professional Education |
| 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) - - University of Wollongong ~ 2009 - Master of Commerce (FInancial Planning) - - University of Western Sydney |
| Daniel James Abela | 2000 | 1999 - Bachelor of Commerce (Economics) - - University of Wollongong ~ 2003 - Masters of Commerce (Financial Planning) - - University of Western Sydney ~ 2005 - Certified Financial Planner - - Financial Planning Association of Australia |
| Danielle Maree Kelly | 1997 | 1994 - Bachelor of Commerce (Accounting and Management) - - University of Wollongong ~ 1999 - Certified Financial Planner - - Financial Planning Association of Australia ~ 1999 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2003 - Certified Practising Accountant (Financial Planning Specialist) - - CPA Australia ~ 2010 - Estate Planning Short Course - - University of Technology |
| David Timothy Richardson | 1998 | 1997 - Bachelor of Commerce (Accounting and Finance) - - University of Wollongong ~ 1998 - Master of Commerce (Finance) - - University of Wollongong ~ 2000 - Graduate Diploma of Financial Planning - - Financial Services Insititute of Australia ~ 2003 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2008 - Certified Practising Accountant - - CPA Australia |
| Dianne Jean Richardson | 1982 | 1969 - Accountancy Certificate - - Department of Technical Education ~ 1984 - Ceertified Practising Accountant - - CPA Australia ~ 1995 - Certified Financial Planner - - Financial Planning Association of Australia ~ 1995 - Diploma of Financial Planning - - Financial Planning Association of Australia |
| Djordje Uzelac | 2023 | 2017 - Economics and Finance - Bachelor Degree (AQF 7) - University of Wollongong ~ 2023 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Mark Harding | 2007 | 2005 - Bachelor of Commerce (Finance and Economics) - - University of Wollongong ~ 2008 - Masters of Commerce (Financial Planning) - - University of Western Sydney ~ 2009 - Certified Financial Planner - - Financial Planning Association of Australia |
| Martin Blair Shipton | 2022 | 2015 - Economics and Finance - Bachelor Degree (AQF 7) - University of Wollongong ~ 2022 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Mathew Anthony Camkin | 2017 | 2017 - Diploma of Financial Planning - - Kaplan ~ 2018 - Bachelor of Commerce (Financial Planning) - - University of Wollongong ~ 2019 - Certified Financial Planner - Professional Designations - FPA |
| Nathan Jay Purnell | 2017 | 2011 - Bachelor of Media and Communication Studies (Marketing) - - University of Wollongong ~ 2017 - Master of Professional Accounting - - University of Wollongong ~ 2018 - Diploma of Financial Planning - - Kaplan |