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;
interests in managed investment schemes limited to:
MDA 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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Andrew Griffin | 2014 | 2012 - Bachelor of Agricultural Economics - - Sydney University ~ 2014 - Advanced Diploma Financial Services - - Kaplan ~ 2015 - Specialist SMSF Course - - Cavendish & ICFS |
| Angus Peter Hannan | 0 | 2020 - Bachelor of Applied Finance with the degree of Bachelor of Economics - Bachelor Degree (AQF 7) - Macquarie University ~ 2023 - Master of Commerce (Finance) - Masters Degree (AQF 9) - University of NSW |
| Angus Ross Cooke | 0 | 2017 - Business: Major in Accounting & Finance - Bachelor Degree (AQF 7) - University of Technology ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
| Anita Vallelonga | 2018 | 2009 - Bachelor of Business - - UTS ~ 2009 - Bachelor of Computing - - UTS ~ 2018 - Diploma Financial Planning - - Mentor |
| Barnabas Monaghan | 2004 | 2000 - BA (Phil) - - Flinders University ~ 2008 - Dip FS (FP) - - Kaplan Professional ~ 2022 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Gemma Louise Tesoriero | 2022 | 2018 - Graduate Certificate Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2020 - Masters of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Hamish Richard Gardner Harvey | 1999 | 2001 - Bachelor of Commerce - - Bond University ~ 2007 - ASX Accredited Listed Product Adviser - - Finsia ~ 2007 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2017 - Certified Financial Planner CFP - - Financial Planning Association of Australia |
| James Edward Mcfarland | 2006 | 2009 - Advanced Diploma of Financial Planning - - Kaplan ~ 2019 - Fellow Chartered Financial Practitioner - Professional Designations - Association of Financial Advisers |
| Katie Wong | 2024 | 2017 - Bachelor of Business Major in Finance - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professioal |
| Kirsten Lee Lynn | 2016 | 2004 - Bachelor of Law - - UNSW ~ 2005 - Graduate Diploma of Legal Practice - - College of Law ~ 2016 - Diploma Financial Planning - - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Lin Gao | 2016 | 2010 - Master of Marketing - - University of Newcastle ~ 2012 - Master of Professional Accounting - - University of New England ~ 2014 - Diploma Financial Planning - - Kaplan Professional Education ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2019 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) |
| Maricris Abellar | 2010 | 2005 - Bachelor of Business Administrations/ Bachelor of Commerce (Accounting) - - Macquarie University ~ 2005 - Masters Business Adminstration with Bachelor of Commerce - Accounting - - Macquarie University ~ 2008 - Graduate Diploma of Chartered Accounting - - Institute of Chartered Accountants in Australia (CA) ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2009 - Diploma of Financial Services - - Kaplan Professional Education ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2013 - Self Managed Super Funds - - Kaplan |
| Matthew Prain | 2012 | 2009 - Diploma of Financial Services (Financial Planning) FNS50804 - - Mentor Education - RG146 Training Australia ~ 2016 - Margin Lending Accreditation Program - - Deakin Prime ~ 2016 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education - RG146 Training Australia ~ 2017 - Accredited Derivatives Adviser 1 & 2 - - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - - Mentor |
| Michelle LE | 2023 | 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Melbourne ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - UNSW |
| Natasha Juliet Anderson | 2018 | 2011 - Bachelor of Economics - - University of New South Wales ~ 2015 - Certified Financial Planner CFP - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Nicola Clare Boustred | 2011 | 1988 - Bachelor of Commerce - - University of Cape Town ~ 1989 - Postgraduate Diploma in Accounting - - University of Cape Town ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Rovena Andruskevica | 2016 | 2012 - Bachelor of Economics - - Macquarie University ~ 2014 - Diploma of Financial Planning - - Kaplan ~ 2018 - Certified Financial Planner CFP - - Financial Planning Association of Australia ~ 2022 - Ethics & Professionalism in Financial Advice - Diploma (AQF 5) - Kaplan ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Saxon Thomas Tindall | 2021 | 2014 - Commerce - Major in Accounting & Finance - Bachelor Degree (AQF 7) - The University of Notre Dame ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - The University of New South Wales ~ 2020 - Accredited Listed Product Adviser Program - Certificate (AQF 1-4) - Kaplan Professional ~ 2020 - Margin Lending Facilities - Certificate (AQF 1-4) - Financial Education Professionals ~ 2020 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan Professional |
| Todd Benson Stanford | 2000 | 1995 - Bachelor of Business (Accounting/Finance) - - Charles Sturt University ~ 1999 - Chartered Accountant (CA) - Professional Designations - Institute of Chartered Accountants ~ 2002 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2010 - Certified Financial Planner - - FPA ~ 2012 - CA Financial Planning & SMSF Specialist - Professional Designations - Institute of Chartered Accountants |
| Vincent Patrick O'neill | 2009 | 2002 - Bachelor of Business & Legal Studies - - University College Dublin ~ 2009 - ASX Listed Products Accredited - - Kaplan ~ 2012 - Advanced Diploma Financial Services - - Kaplan |