This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients 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;
superannuation; and
provide financial product advice to wholesale clients for the following classes of financial products:
derivatives;
foreign exchange contracts; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products to wholesale clients:
derivatives; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products to retail and wholesale clients:
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;
superannuation; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products to wholesale clients:
derivatives;
foreign exchange contracts;
Name | First provided advice | Qualification and trainings |
---|---|---|
Andrew Ross Ferguson | 2018 | Bachelor of Commerce (Accounting & Finance) - University of New South Wales (NSW) ~ Bachelor of Economics - University of New South Wales (NSW) ~ Diploma of Financial Planning - Kaplan Professional |
Anthony David Foale | 2005 | Advanced Diploma of Financial Services - Tribeca ~ Advanced Diploma of Financial Services - Tribeca ~ Bachelor of Economics - La Trobe University ~ Bachelor of Economics - La Trobe University ~ Certified Financial Planner - FPA ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Deakin University ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism - Kaplan ~ Ethics and Professionalism - Kaplan |
Cara Sloshberg | 2014 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business - UTS ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Kaplan |
Caroline Ngoi | 2015 | Bachelor of Commerce - University of Western Australia ~ Certified Financial Planner - Financial Planning Association ~ Ethics & professionalism - Kaplan ~ Graduate Diploma of Financial Planning - Finsia |
David Greenberg | 2012 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business - Western Australian Institute of Technology (WAIT) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Edward Wilmoth | 2012 | Accredited Aged Care Professional - Aged Care Steps Pty Ltd ~ Bachelor of Commerce - University of Melbourne ~ Certified Financial Planner - Financial Planning Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Ian Michael Mcrae | 2010 | Bachelor of Commerce - Murdoch University ~ Certified Financial Planner - Financial Planning Association ~ Diploma in Financial Planning - Deakin University ~ Ethics and Professionalism - Kaplan ~ Graduate Diploma in Banking & Finance - Curtin University |
James DE Petra | 2012 | Bachelor of Commerce (Financial Planning & Finance) - Deakin University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education |
Jason Cook | 2004 | Bachelor of Economics - Monash University ~ Diploma of Financial Planning - Deakin University |
Jessica Higgins | 2008 | Bachelor of Commerce - Deakin University ~ Certificate IV Finance and Mortgage Broking - AAMC Training Group ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism - Kaplan |
Jill Gordon | 2010 | Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Diploma of Financial Planning - FPA ~ FAESA - FAESA ~ Margin Lending and Gearing Investments - Kaplan |
Matthew Kitchen | 2012 | Bachelor of Commerce (Finance and Financial Planning) - Deakin University ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
Matthew Zee | 2000 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Agricultural Economics - Sydney University ~ Ethics and Professionalism in Financial Advice bridging subject - Kaplan ~ Master of Commerce - UNSW |
Melissa Murphy | 2017 | Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - KAPLAN ~ Self Managed Superannuation Fund - Kaplan |
Michael Cheung | 2012 | Advanced Diploma of Financial Planning - Integrity Education ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - International Institute of Technology ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology |
Paul Stocker | 1996 | Bachelor of Commerce (Banking & Finance) - University of Southern Queensland ~ Diploma of Financial Planning - FPA |
Paula Louise Siddle | 2013 | Diploma of Financial Services - FSTA ~ Masters of Financial Planning - Central Queensland University |
Richard James Crosara | 2008 | Advanced Diploma of Financial Services (Financial Planning) - KAPLAN ~ Bachelor of Business (Financial Planning) - RMIT ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Ethics and Professionalism - Kaplan |
Romano DE Nadai | 2010 | Bachelor of Business (Banking and Finance) - Monash University ~ CFP Education Program - FPA ~ Diploma of Financial Planning - FPA ~ Diploma of Mortgage Lending - Securities Institute |
Ryan O'dwyer | 2009 | Advanced Diploma of Financial Services - Kaplan Education ~ Bachelor of Business - Australian Catholic University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Services - Kaplan Education |
Scott Ronald Jackson | 2006 | Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism - Kaplan ~ Graduate Diploma of Commerce - University of New South Wales |