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 (Financial Planning) - - Kaplan Professional ~ 2014 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2014 - Certified Financial Planner (CFP®) - - Financial Planning Association of Australia (FPA) |
| Brett Mccrae | 2022 | 2016 - Economics and Finance (Honours)) - Masters Degree (AQF 9) - University of Edinburgh ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - 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 - - Kaplan |
| Daniel John Creagan | 2018 | 2012 - Bachelor of Economics (Finance & Econometrics) - - University of New South Wales ~ 2014 - Diploma of Financial Planning - - Kaplan ~ 2017 - Master of Applied Finance (Financial Planning) - Graduate Diploma (AQF 8) - Charles Sturt University ~ 2019 - Ethics + Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN Professional ~ 2020 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan |
| Ian Robert Bell | 2018 | 2008 - Bachelor of Commerce (Accounting & Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2010 - Certificate in Applied Tax - - Taxation Institute of Australia ~ 2013 - Chartered Accountants Program - - Chartered Accountants Australia and New Zealand ~ 2020 - Ethics + Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN Professional |
| Michael Rees-evans | 2002 | 2003 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia ~ 2006 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2010 - Masters of Management in Financial Management - Masters Degree (AQF 9) - Maquarie Graduate School of Management ~ 2012 - SMSF Specialist Advisor - Professional Designations - SMSF Professionals Association of Australia ~ 2019 - Ethics + Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| 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 - Certified Financial Planner - - Financial Planning Association Australia ~ 2020 - Ethics + Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN Professional ~ 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 |