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;
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; 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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Craig Allen Sinclair | 1991 | 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca (Kaplan Professional) ~ 2012 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy ~ 2015 - Advanced Diploma of Financial Planning - - Mentor Education |
| Craig Duncombe | 2006 | 1993 - Bachelor of Business (Accounting) - - University of Technology Sydney ~ 1998 - Diploma in Technical Analysis - - Australian Technical Analysis Association ~ 1999 - Graduate Diploma Applied Finance and Investment - - Securities Institute Australia ~ 2012 - Diploma of Financial Planning (Mortgage Broking) - - SWSIT (NSW) ~ 2013 - ICFS Specialist SMSF Course - - University of Adelaide |
| David Azon-jacometti | 2007 | 2007 - Self-Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan Professional ~ 2008 - Diploma of Financial Planning - Diploma (AQF 5) - Tribeca Learning ~ 2011 - Margin Lending - Certificate (AQF 1-4) - Three Sixty Financial Planning ~ 2012 - Advanced Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - SMSF Specialist Adviser Program - Diploma (AQF 5) - SMSFA |
| David John Porter | 2000 | 2002 - Bachelor of Commerce (Accounting) - - Macquarie University ~ 2002 - PS 146 - - Financial Planning Association of Australia ~ 2003 - Graduate Diploma - - Institute of Chartered Accountants |
| Gary Phillip Thoroughgood | 2008 | 2013 - Diploma of Financial Services (Financial Planning) - - Australian College of Professionals |
| George William Root | 2015 | 2013 - Diploma of Financial Planning - - Kaplan Education Pty Limited ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Education Pty Ltd ~ 2015 - Self Managed Superannuation Funds - - Kaplan Education Pty Limited |
| Haroldas Ambrutis | 2023 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN |
| Ian Thomas Spedding | 1993 | 1990 - Certified Financial Planner (CFP) - - Financial Planning Association ~ 1995 - DFP 8 - Financial Plan Construction & Review - - Financial Planning Association ~ 1995 - Diploma of Financial Planning - - Financial Planning Association |
| John Illingworth | 2003 | 1973 - Bachelor of Commerce - - The University of Queensland ~ 2005 - Self Managed Superannuation Funds Adviser Course - - Tribeca ~ 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan |
| John Michael Rose | 2012 | 2004 - Bachelor of Business Management - - University of Queensland ~ 2004 - Bachelor of Commerce - - University of Queensland ~ 2010 - ALPA ASX Shares Accreditation - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services - - Kaplan Professional ~ 2013 - Self-Managed Superannuation Funds - - Kaplan Professional |
| Kristina Anne O'sullivan | 2018 | 2018 - Diploma of financial planning - - Kaplan Education Pty Ltd |
| Marcel Joseph Jacobs | 2004 | 2004 - Foundation DFP - - Deakin University ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2006 - Diploma of Financial Services ( Financial Planning) - - Tribeca ~ 2015 - ALPA - - Kaplan ~ 2016 - Bachelor of Financial Advising - - University of Western Sydney |
| Marcus John O'connor | 2000 | 1997 - Advanced Diploma of Business (Accounting) - - Swinburne University ~ 1999 - Bachelor Business Accountancy - - RMIT ~ 2002 - Diploma Financial Planning - - FPA |
| Stephen Mervyn Lambert | 2012 | 1998 - Master of Business - Masters Degree (AQF 9) - Charles Sturt University ~ 2005 - Diploma of Financial Planning - - Mentor Education ~ 2006 - Certficate IV in Financial Services (Finance and Mortage) - Certificate (AQF 1-4) - AAMC Training Group ~ 2020 - Economic and Legal Context for Financial Planning - Other - Kaplan Professional |
| Thomas Thynne | 2018 | 2018 - Bachelor of Commerce major in Accounting and Financial Planning - - Griffith University |