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 | Bachelor of Commerce - University of WA ~ Certified Financial Planner Professional - FPA ~ Diploma of Financial Planning - Mentor Education ~ Ethics and Professionalism in financial Advice - Kaplan ~ SMSF Specialist Adviser - SMSF Association |
| Dana Gibbs | 2017 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - AAMC Training Group ~ Managed Investment Adviser (Personal Advice) - Mentor Education ~ Superannuation Adviser (Personal Advice) - Mentor Education |
| David Timothy Hatton | 2010 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Commerce - Murdoch University |
| Dawn Davamoni Thomas | 2010 | Diploma of Financial Services (Financial Planning FNS50804) - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Certificate in Applied Finance - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Applied Finance - Kaplan |
| Gavin Jay Hannagan | 2001 | Bachelor of Commerce - Curtin University ~ Diploma of Financial Planning - Deakin University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA |
| Jonathan O'sullivan | 2016 | Bachelor of Arts (Economics and Geography) - University College Cork - Ireland ~ Diploma of Financial Planning - Kaplan Professional ~ Higher Diploma in Accounting and Corporate Finance - University College Cork - Ireland ~ Securities and Managed Investments - Kaplan Professional |
| Michelle Ingrid Flanagan | 2004 | Bachelor of Business (Accounting and Marketing) - Charles Sturt University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University |
| Patrick Canion | 1987 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Master of Applied Finance - Finsia |
| Paul Clyde Nevin | 2018 | Advanced Diploma of Financial Planning - Mentor Education ~ Certified Financial Planner - Chartered Institute For Securities & Investment (UK) ~ Certified Financial Planner - FAAA ~ Diploma of Financial Planning - Mentor Education ~ Level 6 Certificate in Pension Transfers & Planning Advice - Chartered Institute For Securities & Investment (UK) |
| Robin Sandover | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Certificate in Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Stephen John Kostarelas | 2010 | ALPA - KAPLAN ~ Diploma of Financial Services (Financial Planning) - Mentor ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Margin Lending Accreditation Program - Financial Essentials ~ SMSF - Terra Cordis |
| Thomas Rutter | 2018 | Bachelor of Arts - Business and Management - Leeds Metropolitan University ~ Diploma of Financial Planning - Kaplan |
| Troy Blyth Macmillan | 2001 | Bachelor of Business - Edith Cowan Churchlands ~ Diploma of Financial Advising - Securities Institute ~ Ethics & Professionalism in financial Advice - Kaplan ~ Margin Lending Accreditation Program - Financial Essentials ~ SMSF - Terra Cordis |