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 |
|---|---|---|
| Craig Terence Haycock | 2015 | 2001 - Advanced Diploma of Accounting - - TAFE NSW ~ 2009 - Diploma of Financial Services (Financial Planning) - - International Institute of Technology Pty Ltd (IIT) ~ 2012 - Professional Certificate in Self-Managed Superannuation Funds - Other - University of Adelaide ~ 2023 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Western Sydney University |
| David Vaughan | 2014 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Bachelor of Commerce - - Deakin university ~ 2013 - Diploma of Financial Planning - - RG146 Mentor Education Group ~ 2015 - Cavendish & ICFS Specialist SMSF Course - - The University of Adelaide ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - The University of New South Wales |
| Davin Kim | 2023 | 2014 - Bachelor of Commerce (Business Economics and Finance) - Bachelor Degree (AQF 7) - University of New South Wales ~ 2015 - Master of Finance - Masters Degree (AQF 9) - University of New South Wales ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional |
| Joshua Cratchley | 2010 | 2008 - Bachelor of Business - - University of Technology ~ 2009 - Certified Financial Planner - - FPA |
| Miles Paul Tauber | 2000 | 2011 - Margin Lending & Geared Investments - Other - Kaplan ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Accredited Listed Product Adviser Program - Other - Kaplan |
| Nicholas Donnelly | 2016 | 2002 - Bachelor of Commerce - - University of Wollongong ~ 2012 - Master of Applied Finance - - Kaplan ~ 2012 - Master of Applied Finance - - Kaplan Professional Education ~ 2016 - Diploma of Financial Planning (FNS50615) - - Monarch Institute ~ 2016 - Diploma of Financial Planning - - Monarch Institute ~ 2021 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan Professional ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Patrick Damian Casey | 2016 | 2002 - Bachelor of Commerce - - University of Wollongong ~ 2006 - Graduate Diploma of Financial Planning - - FINSIA ~ 2016 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2016 - Self Managed Superannuation Funds - - Kaplan Professional |
| Sam Lachlan Carroll | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2012 - Bachelor of Business - - Australian Catholic University |
| Shaun Parton | 2015 | 2010 - Bachelor of Commerce (Accounting & Finance) - - University of New South Wales ~ 2010 - Bachelor of commerce - - The University of NSW ~ 2012 - Diploma of Financial Planning - - Kaplan ~ 2012 - Diploma of Financial Planning - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2013 - Advanced diploma of Finanical Planning - - Kaplan ~ 2017 - CFP - Certified Financial Planner - - FPA ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2024 - Accredited Aged Care Professional Program - Professional Designations - Aged Care Steps |
| Stephen Buhlman | 2000 | 1993 - Bachelor of Economics - - University of Western Australia ~ 2003 - Certified Financial Planner - - FPA |
| Warren Michael Loudon | 2013 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2015 - SMSF - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |