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 clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Emma Cork | 2002 | 2002 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia (FPA) ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2015 - Australian Institute of Company Directors - Other - Australian Institute of Company Directors |
| Gregory John Polglase | 1998 | 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University/Financial Planning Association (FPA) ~ 2005 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2010 - Self Managed Superannuation Funds Adviser Accreditation - Other - Financial Essentials ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jeffrey Petrie | 2007 | 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Education Pty Ltd ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Jodie Lisa Wickham | 2018 | 2015 - Introduction to Australian Tax Law - Other - Curtin University ~ 2016 - Bachelor of Commerce Major in Financial Planning v3 - Bachelor Degree (AQF 7) - Curtin University ~ 2022 - Commercial Law - Other - Kaplan Professional |
| Liam Wallace | 2009 | 2008 - Taxation 301 - Other - Curtin University ~ 2009 - Bachelor of Commerce Major in Financial Planning v1 - Bachelor Degree (AQF 7) - Curtin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Commercial Law - Other - Kaplan Professional ~ 2022 - TASA and the TPB Code of Professional Conduct - Other - Kaplan Profesional |
| Lisa Margaret Farnell | 1999 | 1991 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University and FPA ~ 2007 - Certified Financial Planner - Professional Designations - FPA ~ 2010 - Margin Lending Gap Assessment - Other - Kaplan Education |
| Matthew James Hern | 2003 | 2001 - Taxation and Strategies for Financial Planning - Graduate Certificate (AQF 8) - Securities Institute Australia (SIA) ~ 2003 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute Australia (SIA) ~ 2022 - Commercial Law - Other - Kaplan Education Pty Ltd ~ 2022 - TASA and the TPB Code of Professional Conduct - Other - Kaplan Education Pty Ltd |
| Michael Stuart Pyne | 2004 | 1997 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University ~ 2004 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute Australia (SIA) ~ 2007 - Certified Financial Planner - Professional Designations - FPA ~ 2013 - Certificate IV Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan |
| Nathan Ross Morgan | 2024 | 2020 - Economics and Legal Context for Financial Planning - Other - Kaplan Professional ~ 2021 - Tax and Commercial Law for Financial Planning - Other - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nicholas John Bordi | 2015 | 2013 - Bachelor of Commerce, Economics and Finance Double Major - Bachelor Degree (AQF 7) - Curtin University ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Education Pty Ltd ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) |
| Nicola Hynes | 2023 | 2019 - Business Law - Other - Curtin University ~ 2020 - Elementary Australian Tax Law - Other - Curtin University ~ 2021 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2022 - Bachelor of Commerce (Finance & Financial Planning) - Bachelor Honours Degree (AQF 8) - Curtin University |
| Norman John Jupp | 1984 | 1994 - Diploma in Life Insurance - Diploma (AQF 5) - Deakin University ~ 2001 - Cerified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2011 - Margin Lending Gap Assessment - Other - Kaplan education ~ 2023 - Graduate Diploma of Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional |
| Paul Joseph Burton | 2002 | 2000 - Diploma of Financial Markets - Diploma (AQF 5) - Securities Institute of Australasia (SIA) ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - MLC Threesixty ~ 2007 - Certified Financial Planner - Professional Designations - Deakin ~ 2011 - SMSF Specialist Advisor - Professional Designations - SMSF Association |
| Paul Russell Black | 2003 | 1991 - Bachelor of Business Double Major in Accounting Finance - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2004 - Diploma of Financial Services - Diploma (AQF 5) - Tribeca ~ 2006 - Self Managed Superannuation Funds (SMSF) Adviser Accreditation - - Financial Essentials ~ 2012 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Robert Charles Pyne | 1997 | 1992 - Bachelor of Science - Bachelor Degree (AQF 7) - Curtin University ~ 2000 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute Australia (SIA) ~ 2004 - Certified Financial Planner - Professional Designations - FPA |
| Sean Jeffery Michael Bennett | 2023 | 2019 - Bachelor of Commerce - Accounting - Bachelor Degree (AQF 7) - Curtin University ~ 2021 - Corporations and Contract Law - Other - Swinburne University of Technology ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Swinburne University of Technology ~ 2022 - Taxation Principles and Planning - Other - Swinburne University of Technology |
| Stephen Anagno | 2013 | 2007 - Bachelor of Business - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2021 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2022 - Economic and Legal Context for Financial Planning - Other - Kaplan Professional ~ 2022 - Taxation for Financial Planning - Other - Kaplan Professional |
| Thomas William Sweeny | 2018 | 2017 - Bachelor of Commerce (Finance and Economics) - Bachelor Degree (AQF 7) - University of Western Australia ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2022 - Margin Lending Specialist - Other - Kaplan Professional ~ 2024 - Certified Financial Planner - Professional Designations - Financial Advice Association Australia (FAAA) |
| Zacary James Leeson | 2015 | 2013 - Bachelor of Science and Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) |