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 |
|---|---|---|
| Alexander Isaac Woodgate | 1996 | 1995 - Bachelor of Economics - Bachelor Degree (AQF 7) - Murdoch University ~ 2002 - ASIC PS146 -Life Insurance - - ITC ~ 2002 - Life Track - - Lumley Life Limited ~ 2007 - Master of Commerce (Financial Planning) - Masters Degree (AQF 9) - University of Western Sydney ~ 2011 - Margin Lending & Geared Investments - - Kaplan Education |
| Anthony Dean Skinner | 1986 | 2009 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2009 - SMSF - - Kaplan ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2011 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| Bradley Thomas Symes | 2016 | 2009 - Bachelor of Finance - - University of Adelaide ~ 2015 - Margin Lending Acrreditation Program - Other - Stockbrokers Association of Australia ~ 2015 - Professional Diploma in Stockbroking - Diploma (AQF 5) - Stockbrokers Association of Australia ~ 2017 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Brett Daniel Handke | 2005 | 2007 - Graduate Diploma of Applied Finance & Investment - Graduate Diploma (AQF 8) - FINSIA ~ 2011 - ASX Accredited Listed Products Adviser (ALPHA) Program - Other - Kaplan Professional ~ 2011 - Margin Lending & Geared Investments - Other - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Gerard Victor Doney | 1980 | 2005 - Advanced Diploma of Financial Planning - - Tribeca ~ 2005 - Diploma of Financial Planning - - Tribeca |
| Matthew James Wilson | 2021 | 1990 - Bachelor of Economics - Bachelor Degree (AQF 7) - The Flinders University of South Australia ~ 1992 - Chartered Accountant Program / Graduate Diploma - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Matthew John Nicholls | 2011 | 2010 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Pinnacle ~ 2010 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - University of SA ~ 2010 - Diploma of Financial Planning - Diploma (AQF 5) - Pinnacle ~ 2011 - Margin Lending - Professional Designations - Pinnacle ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Michael Anthony Nemeth | 2003 | 1984 - Bachelor of Business - Bachelor Degree (AQF 7) - Western Australia Institute of Technology ~ 1987 - Certified Practicing Accountant - Professional Designations - CPA ~ 1996 - National Tax Accountant - Professional Designations - NTAA ~ 2000 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2024 - Margin Lending - Other - Kaplan Professional |
| Phillip Mills | 2000 | 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association ~ 2014 - Self Managed Superannuation Funds - Professional Designations - Kaplan Professional |