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;
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;
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;
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 |
|---|---|---|
| Amy Early | 2014 | 2007 - Bachelor of Arts (Politics) - - University of Wollongong ~ 2007 - Bachelor of Commerce - - University of Wollongong ~ 2013 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2014 - Certified Financial Planner (CFP®) - - Financial Planning Association of Australia (FPA) ~ 2024 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Anna Sobur | 0 | 2011 - Bachelor Of Economics - Bachelor Degree (AQF 7) - Tyumen State University ~ 2013 - Bachelor In European Management - Bachelor Degree (AQF 7) - University Of Strasbourg ~ 2013 - Master Of Management - Masters Degree (AQF 9) - Tyumen State University ~ 2015 - Master Of Financial Analysis - Masters Degree (AQF 9) - The University Of New South Wales ~ 2024 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - The University Of New South Wales |
| Brett Mccrae | 2022 | 2016 - Economics and Finance (Honours) - Masters Degree (AQF 9) - University of Edinburgh ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2025 - Commercial Law - Other - Kaplan Professional |
| Charis Liew | 2017 | 2005 - Bachelor of Commerce - - University of Sydney ~ 2008 - Chartered Accountant - - ICAA ~ 2012 - Chartered Tax Adviser - - The Tax Institute ~ 2016 - Graduate Diploma Of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Daniel John Creagan | 2018 | 2012 - Bachelor of Economics (Finance & Econometrics) - - University of New South Wales ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Education Pty Limited ~ 2017 - Master of Applied Finance (Financial Planning) - Masters Degree (AQF 9) - Charles Sturt University ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2020 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Education Pty Limited |
| Jonathon Bolt | 2023 | 2020 - Bachelor of Applied Finance with a degree of Bachelor of Economics - Bachelor Degree (AQF 7) - Macquarie University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Charles Sturt University ~ 2023 - Master of applied Finance (financial Planning) - Masters Degree (AQF 9) - Charles Sturt University |
| Matthew Bryson | 0 | 2021 - Bachelor Of Commerce - Bachelor Degree (AQF 7) - The University Of New South Wales ~ 2025 - Graduate Diploma In Financial Planning - Graduate Diploma (AQF 8) - The University Of New South Wales |
| Rachael Mary Lopez | 2001 | 2000 - Bachelor of Commerce (with Distinction) - - University of Western Sydney ~ 2002 - Diploma of Financial Planning - - Deakin University ~ 2004 - Certified Financial Planner (CFP) Education Program - - Financial Planning Association of Australia (FPA) ~ 2010 - DPML Margin Lending - - Pinnacle Financial Services Academy ~ 2013 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia |
| Ricardo Poletti | 2015 | 2008 - Bachelor of Commerce (Accounting & Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2017 - 5 unit CFP Certification Program - Professional Designations - Financial Planning Association of Australia Limited ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2021 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - KAPLAN |
| Scott Girdlestone | 2004 | 2000 - Bachelor of Commerce (Finance & Marketing) - - University of Wollongong ~ 2003 - Diploma of Financial Planning - - FPA ~ 2005 - Certified Financial Planner - - FPA |