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;
derivatives limited to:
old law securities options contracts and warrants;
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;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
derivatives limited to:
old law securities options contracts and warrants;
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Adrian Rowley | 1998 | 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia Limited |
| Ankush Gupta | 0 | 2024 - Graduate Diploma of Financial PLanning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Ben Bowen | 1997 | 1996 - Bachelor of Economics - - Harvard University |
| Cameron Morcher | 2005 | 1996 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Melbourne ~ 2007 - Chartered Financial Analyst (CFA) - Professional Designations - CFA Institute ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2012 - • Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - Self Managed Super Funds - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice (FBC002B) - Bridging Course - Ethics - Kaplan Professional |
| Christopher Unthank | 2001 | 2001 - Diploma of Financial Services - Intro & Units 1 - - Australian Financial Services ~ 2002 - Diploma of Financial Services - Units 2 & 4 - - Securities Institute of Australia ~ 2002 - Diploma of Financial Services - Units 3 & Investment Planning 1 - - Financial Planning Assoc of Australia ~ 2006 - Advanced Diploma Unit 5 Taxation - - Integratec ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education |
| Frederick Johannes Strauss | 1980 | 1982 - Bachelor of Commerce - - The University of Free State, South Africa ~ 1984 - Honours Bachelor of Accounting - - University of South Africa ~ 2004 - PS146 - - Securities Institute of Australia |
| Mark Eugene Trahair | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Michael Davie | 1999 | 2005 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan Education (formerly Tribeca Learning)) ~ 2008 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association ~ 2009 - Life Risk Specialist (LRS) - Professional Designations - Financial Planning Association ~ 2011 - Accredited Estate Planning Strategist - - FPA ~ 2011 - SMSF Specialist Advisor - Professional Designations - SMSF Association |
| Noel Robert Marshall | 1980 | 2004 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2010 - ADFS 1 Taxation Planning - - Mentor Education Group ~ 2010 - ADFS 3 Advanced Investment Planning - - Mentor Education Group ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2011 - ADFS 2 Estate Planning - - Kaplan |
| Steven Rowley | 1974 | 2014 - Diploma of Financial Planning - - Pinnacle ~ 2014 - PS146 - - Pinnacle |
| Trent Ashley Bell | 2017 | 2015 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2017 - Tax for Financial Advising (DFP5v2) - Diploma (AQF 5) - Kaplan Education ~ 2018 - Advanced Diploma of Financial Planning (ADFP) - Advanced Diploma (AQF 6) - Kaplan Education ~ 2020 - Ethics and Professionalism in Financial Advice (FPC002B) - Bridging Course - Ethics - Kaplan Education ~ 2020 - SuperConcepts & ICFS Specialist SMSF Course - Other - University of Adelaide |
| York AU | 2008 | 2002 - Bachelor of Commerce (Honours) - Bachelor Honours Degree (AQF 8) - University of Melbourne ~ 2004 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2006 - Certified Financial Panner (CFP) Certification - Professional Designations - Financial Planning Association of Australian (FPA) ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional Education ~ 2011 - Self Managed Superannuation Funds - Other - Kaplan Professional Education |