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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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 |
|---|---|---|
| Alexander Hugh Goldsmith | 2010 | 1987 - Bachelor of Economics - - Australian National University |
| Amber Jing Jing Lin | 2018 | 2008 - Bachelor of Economics - Bachelor Degree (AQF 7) - Western Sydney University ~ 2012 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2020 - Ethics and Professionalism in Financial PLanning - Bridging Course - Ethics - Kaplan |
| Ashleigh Victoria Steeles | 2022 | 2019 - Bachelor of Arts - Bachelor Degree (AQF 7) - University of Wollongong ~ 2019 - Bachelor of Commerce Financial Planning - Bachelor Degree (AQF 7) - University of Wollongong ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Belinda Jane Marley-wallace | 2009 | 2005 - Bachelor of Business Administration (Int'l Management) - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2014 - Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan ~ 2022 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Bruce Hedley Kluk | 2010 | 1978 - Certificate in Accounting Theory - - Wits University South Africa ~ 1981 - Chartered Accountant - - Institute of Chartered Accountants South Africa ~ 1985 - Bachelor of Commerce - - Natal University South Africa ~ 1999 - Certified Financial Planner - - Deakin University |
| Dwayne Valerio Fernandes | 2010 | 2003 - Bachelor of Business - Economics and Finance - - University of Western Sydney ~ 2005 - Master of Commerce - Financial Planning - - University of Western Sydney ~ 2010 - Certified Financial Planner - - Financial Planning Association ~ 2012 - Accredited Estate Planning Specialist - - University of Technology - Sydney |
| Grant Goldsworthy | 2013 | 1992 - Bachelor of Business - Marketing - Bachelor Degree (AQF 7) - Western Sydney University ~ 2004 - Master of Business Administration - - University of Technology, Sydney ~ 2013 - Diploma of Financial Planning - - Kaplan Professional ~ 2013 - Provide Advice in Margin Lending - - Kaplan Professional ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional |
| Jasmyn Lorraine Stekovic | 2024 | 2018 - Bachelor of Business and Commerce (Property) - Bachelor Degree (AQF 7) - Western Sydney University ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2023 - SMSF Regulations and Taxation - Other - Kaplan Professional |
| Jeffrey Mark Thurecht | 1997 | 1996 - Bachelor of Information Technology - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2001 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA ~ 2004 - Certified Financial Planner - Professional Designations - FPA ~ 2005 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Australian Executor Trustees ~ 2020 - Ethics and Professionalism in Planning Advice - Bridging Course - Ethics - Kaplan Professional |
| Marshall Brentnall | 2001 | 1996 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2001 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA ~ 2002 - Certified Financial Planner - - FPA ~ 2009 - ASX Accredited Listed Products Adviser Program - Certificate (AQF 1-4) - Kaplan ~ 2009 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan |
| Melody Edwards | 2009 | 2010 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2014 - Self Managed Super Fund - Certificate (AQF 1-4) - Kaplan ~ 2016 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - Accredited Aged Care Professional - Professional Designations - Aged Care Steps |
| Minyu Wang | 0 | 2014 - Master of Financial Planning - Masters Degree (AQF 9) - UNSW ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Paul Luu | 2005 | 2004 - Bachelor of Applied Finance (Degree in Bachelor of Commerce - Actuarial Studies) - Bachelor Degree (AQF 7) - Macquarie University ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribecca ~ 2009 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan Professional ~ 2009 - Taxation Planning - Certificate (AQF 1-4) - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional |
| Thomas Rosario LA Mela | 2016 | 2006 - Bachelor of Commerce - - The University of Western Australia ~ 2015 - Diploma of Financial Planning - - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan ~ 2018 - Tier1 Margin Lending - Personal Advice - - Kaplan |
| Virginia Ciara Schreiber | 2023 | 2020 - Bachelor of Applied Economics - Bachelor Degree (AQF 7) - University of Canberra ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |