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 |
|---|---|---|
| Chandar Varadhan | 2016 | Accredited Aged Care Professional - Aged Care Steps ~ Cavendish & ICFS Specialist SMSF Course - The University of Adelaide ~ Certificate IV Finance and Mortgage Broking (FNS40811) - AAMC Training Group ~ Certified Financial Planner - Financial Planning Association of Australia Limited ~ Master of Business (Management) - University of Ballarat |
| Errol Karl Michel Rabaud | 2013 | Advanced Diploma in Financial Services - Monarch Institute ~ Diploma of Financial Services (Financial Planning) - Kings International College ~ Margin Lending and Geared Investments - Kaplan ~ Principals in SMSF's - International Institute of Technology |
| Jon Francis | 1998 | Diploma of Financial Planning - Financial Planning Association ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor |
| Maurice James Horlick | 1987 | Diploma Financial Services ( Financial Planning ) - Deakin University |
| Michael Messinesi | 2009 | Advanced Diploma of Financial Planning/Advice - Kaplan ~ Bachelor of Economics - University of New England ~ Diploma of Financial Planning - Mentor Australia ~ Diploma of SMSF - Mentor Australia ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Morgan David Jones | 2004 | Advance Financial Diploma - International Institute of Technology ~ Diploma of Financial Planning - FPA ~ Insurance Planning: Principles & Applications - Independent Centre of Financial Planning ~ Self Managed Superannuation Funds - Kaplan |
| Rodney Deutschbein | 2007 | Diploma Finance and Mortgage Broking - FMBP ~ Diploma Financial Services (Financial Planning ) - Mentor |
| Sanjiv Sameer John Khalkho | 2014 | Diploma of Financial Planning - International Institute of Technology ~ Self Managed Superannuation Funds - International Institute of Technology |
| Sean Anthony Prosser | 2002 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Group ~ Advanced Investment Planning - Mentor Education Group ~ Self Managed Superannuation Fund - Mentor Education Group |
| Shivi Malik | 2008 | Graduate Diploma in Financial Planning - University of the Sunshine Coast ~ Self Managed Superannuation Funds - Kaplan |
| Steven Brian Hallam | 1999 | ASX Securities - Kaplan ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - AAMC ~ Margin Lending - Kaplan ~ Post Graduate Diploma of Management - Macquarie ~ Self Managed Super Fund Course - Kaplan |
| Timothy Sean O'connell | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of Arts (Honours) - Politics - Reading University, UK ~ Master of Business Administration - The Australian Graduate School of Management (AGSM), University of NSW |
| Todd Conklin | 2011 | Bachelor of Applied Finance - Macquarie University ~ Diploma of Financial Planning FNS50804 - Kaplan Australia ~ RG146 DPML Margin Lending - Pinnacle Financial Services Academy ~ Self Managed Superannuation Funds - Kaplan Australia |
| Wence Rafael Peraza Rojas | 2017 | Bachelor of Science/Internationla Business - Georgetown College ~ Diploma of Financial Planning - International Institute of technology ~ Master of International Business - University of Wollongong ~ SMSF Education and Specialist course - University of Adelaide |
| William Trevor Rolley | 2004 | Certificate 4 Financial Planning - Kaplan ~ Certificate 4 Financial Planning - Kaplan ~ PS 146 Integratec - Kaplan ~ RG 146 Specialist SMSF Adviser - Mentor ~ RG 146 Specialist SMSF Adviser - Mentor |