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 | Advanced Diploma Financial Services - Kaplan ~ Bachelor of Agricultural Economics - Sydney University ~ Specialist SMSF Course - Cavendish & ICFS |
| Anita Vallelonga | 2018 | Bachelor of Business - UTS ~ Bachelor of Computing - UTS ~ Diploma Financial Planning - Mentor |
| Barnabas Monaghan | 2004 | BA (Phil) - Flinders University ~ Dip FS (FP) - Kaplan Professional |
| Gemma Louise Tesoriero | 2022 | Graduate Certificate Financial Planning - Griffith University ~ Masters of Financial Planning - Griffith University |
| Hamish Richard Gardner Harvey | 1999 | ASX Accredited Listed Product Adviser - Finsia ~ Bachelor of Commerce - Bond University ~ Certified Financial Planner CFP - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - FINSIA |
| James Edward Mcfarland | 2006 | Advanced Diploma of Financial Planning - Kaplan ~ Fellow Chartered Financial Practitioner - Association of Financial Advisers |
| Katie Wong | 0 | Bachelor of Business Major in Finance - University of Technology Sydney ~ Master of Financial Planning - Kaplan Professioal |
| Kirsten Lee Lynn | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Law - UNSW ~ Diploma Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Legal Practice - College of Law |
| Lin Gao | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Diploma Financial Planning - Kaplan Professional Education ~ Master of Marketing - University of Newcastle ~ Master of Professional Accounting - University of New England |
| Maricris Abellar | 2010 | Bachelor of Business Administrations/ Bachelor of Commerce (Accounting) - Macquarie University ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services - Kaplan Professional Education ~ Graduate Diploma of Chartered Accounting - Institute of Chartered Accountants in Australia (CA) ~ Margin Lending & Geared Investments - Kaplan ~ Masters Business Adminstration with Bachelor of Commerce - Accounting - Macquarie University ~ Self Managed Super Funds - Kaplan |
| Matthew Prain | 2012 | Accredited Derivatives Adviser 1 & 2 - Kaplan ~ Advanced Diploma of Financial Planning - Mentor ~ Diploma of Financial Services (Financial Planning) FNS50804 - Mentor Education - RG146 Training Australia ~ Margin Lending Accreditation Program - Deakin Prime ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education - RG146 Training Australia |
| Michelle LE | 2023 | Bachelor of Commerce - The University of Melbourne ~ Master of Financial Planning - UNSW |
| Natasha Juliet Anderson | 2018 | Bachelor of Economics - University of New South Wales ~ Certified Financial Planner CFP - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Nicola Clare Boustred | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce - University of Cape Town ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Postgraduate Diploma in Accounting - University of Cape Town |
| Rovena Andruskevica | 2016 | Bachelor of Economics - Macquarie University ~ Certified Financial Planner CFP - Financial Planning Association of Australia ~ Diploma of Financial Planning - Kaplan ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Master of Financial Planning - Kaplan |
| Saxon Thomas Tindall | 2021 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Commerce - Major in Accounting & Finance - The University of Notre Dame ~ Margin Lending Facilities - Financial Education Professionals ~ Master of Financial Planning - The University of New South Wales ~ Self Managed Superannuation Funds - Kaplan Professional |
| Todd Benson Stanford | 2000 | Bachelor of Business (Accounting/Finance) - Charles Sturt University ~ CA Financial Planning & SMSF Specialist - Institute of Chartered Accountants ~ Certified Financial Planner - FPA ~ Chartered Accountant (CA) - Institute of Chartered Accountants ~ Graduate Diploma of Financial Planning - Securities Institute |
| Vincent Patrick O'neill | 2009 | ASX Listed Products Accredited - Kaplan ~ Advanced Diploma Financial Services - Kaplan ~ Bachelor of Business & Legal Studies - University College Dublin |