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 | Bachelor of Commerce (Financial Planning and Finance) - University of Wollongong ~ Bachelor of Law - University of Wollongong ~ Graduate Diploma of Legal Practice - University of Wollongong |
| Alison Maree Henderson | 1997 | Bachelor of Commerce (Economics and Accounting) - University of Wollongong ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Finance and Mortgage Broking - Kaplan Professional Education ~ Master of Commerce (Economics) - University of Wollongong ~ Master of Commerce (Financial Planning) - University of Western Sydney |
| Breeana Simone O'donnell | 0 | Commerce (Financial Planning and Accounting) - University of Wollongong ~ Ethics and Professionalism - Kaplan |
| Clare Eileen Hurley | 2010 | Bachelor of Commerce (Finance and Economics) - University of Wollongong ~ Master of Commerce (FInancial Planning) - University of Western Sydney |
| Daniel James Abela | 2000 | Bachelor of Commerce (Economics) - University of Wollongong ~ Certified Financial Planner - Financial Planning Association of Australia ~ Masters of Commerce (Financial Planning) - University of Western Sydney |
| Danielle Maree Kelly | 1997 | Bachelor of Commerce (Accounting and Management) - University of Wollongong ~ Certified Financial Planner - Financial Planning Association of Australia ~ Certified Practising Accountant (Financial Planning Specialist) - CPA Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Estate Planning Short Course - University of Technology |
| David Timothy Richardson | 1998 | Bachelor of Commerce (Accounting and Finance) - University of Wollongong ~ Certified Financial Planner - Financial Planning Association of Australia ~ Certified Practising Accountant - CPA Australia ~ Graduate Diploma of Financial Planning - Financial Services Insititute of Australia ~ Master of Commerce (Finance) - University of Wollongong |
| Dianne Jean Richardson | 1982 | Accountancy Certificate - Department of Technical Education ~ Ceertified Practising Accountant - CPA Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia |
| Djordje Uzelac | 2023 | Economics and Finance - University of Wollongong ~ Masters of Financial Planning - Kaplan |
| Mark Harding | 2007 | Bachelor of Commerce (Finance and Economics) - University of Wollongong ~ Certified Financial Planner - Financial Planning Association of Australia ~ Masters of Commerce (Financial Planning) - University of Western Sydney |
| Martin Blair Shipton | 2022 | Economics and Finance - University of Wollongong ~ Financial Planning - Kaplan |
| Mathew Anthony Camkin | 2017 | Bachelor of Commerce (Financial Planning) - University of Wollongong ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Kaplan |
| Nathan Jay Purnell | 2017 | Bachelor of Media and Communication Studies (Marketing) - University of Wollongong ~ Diploma of Financial Planning - Kaplan ~ Master of Professional Accounting - University of Wollongong |