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 and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Cara Elizabeth Graham | 2014 | 2013 - Diploma of Financial Planning - - Mentor Education ~ 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of WA ~ 2015 - SMSF Specialist Adviser - - SMSF Association ~ 2018 - Certified Financial Planner Professional - - FPA ~ 2020 - Ethics and Professionalism in financial Advice - Bridging Course - Ethics - Kaplan |
| Dana Gibbs | 2017 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - AAMC Training Group ~ 2016 - Managed Investment Adviser (Personal Advice) - Other - Mentor Education ~ 2016 - Superannuation Adviser (Personal Advice) - Other - Mentor Education ~ 2019 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| David Timothy Hatton | 2010 | 2001 - Bachelor of Commerce - - Murdoch University ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan |
| Dawn Davamoni Thomas | 2010 | 2009 - Diploma of Financial Services (Financial Planning FNS50804) - Diploma (AQF 5) - Kaplan ~ 2011 - Graduate Certificate in Applied Finance - Graduate Certificate (AQF 8) - Kaplan ~ 2013 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2014 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Gavin Jay Hannagan | 2001 | 1998 - Bachelor of Commerce - Economics and Finance - Bachelor Degree (AQF 7) - Curtin University ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jonathan O'sullivan | 2016 | 2016 - Bachelor of Arts (Economics and Geography) - - University College Cork - Ireland ~ 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Higher Diploma in Accounting and Corporate Finance - - University College Cork - Ireland ~ 2016 - Securities and Managed Investments - - Kaplan Professional |
| Joshua Andrew Chapman | 0 | 2021 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - Curtin University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Joshua Rendell | 0 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Michelle Ingrid Flanagan | 2004 | 1999 - Bachelor of Business (Accounting and Marketing) - - Charles Sturt University ~ 2004 - Diploma of Financial Planning - - Deakin University ~ 2017 - Certified Financial Planner - - Financial Planning Association of Australia |
| Patrick Canion | 1987 | 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association (FPA) ~ 2008 - Master of Applied Finance & Investment - Masters Degree (AQF 9) - FINSIA |
| Paul Clyde Nevin | 2018 | 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2019 - Certified Financial Planner - - Chartered Institute For Securities & Investment (UK) ~ 2019 - Level 6 Certificate in Pension Transfers & Planning Advice - - Chartered Institute For Securities & Investment (UK) ~ 2023 - Certified Financial Planner - Professional Designations - FAAA |
| Robin Sandover | 2016 | 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Stephen John Kostarelas | 2010 | 2010 - Diploma of Financial Services (Financial Planning) - - Mentor ~ 2011 - Margin Lending Accreditation Program - - Financial Essentials ~ 2012 - SMSF - - Terra Cordis ~ 2015 - ALPA - - KAPLAN ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Troy Blyth Macmillan | 2001 | 1993 - Bachelor of Business - - Edith Cowan Churchlands ~ 2004 - Diploma of Financial Advising - - Securities Institute ~ 2011 - Margin Lending Accreditation Program - - Financial Essentials ~ 2012 - SMSF - - Terra Cordis ~ 2020 - Ethics & Professionalism in financial Advice - Bridging Course - Ethics - Kaplan |