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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
|---|---|---|
| Aaron D Trombetta | 2015 | Bachelor of Business (Banking & Finance) - University of South Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Graduate Certificate in Financial Planning - Financial Services Institute of Australia ~ Master of Applied Finance - Kaplan |
| Adrian Scott Frinsdorf | 1995 | Bachelor of Accountancy - University of South Australia ~ Certificate IV in Finance & Mortgage Broking - Kaplan ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA |
| Alessandra Marie Forero Morales | 2018 | Accredited Aged Care Professional - Aged Care Steps ~ Advanced Diploma of Financial Planning - Kaplan ~ Diploma in Financial Planning - Kaplan ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan |
| Andrew Thomas Barlow | 2014 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce (Corporate Finance, Accounting) - University of Adelaide ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA |
| Catherine Louise Dichiera | 2023 | Ethics & Professionalism in Financial Advice - Kaplan ~ Graduate Certificate in Financial Planning - FINSIA ~ Graduate Diploma of Applied Finance - Kaplan |
| Christopher Aldo Franco | 2022 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - UniSA ~ Diploma of Financial Planning - Kaplan ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan |
| Danielle Brooke Barron | 2014 | Advanced Diploma Financial Planning - Kaplan Professional ~ Bachelor of Business (Commercial Law) - University of South Australia ~ Client Engagement Skills - Bridging Course - Kaplan ~ Diploma Financial Planning - Kaplan Professional ~ Ethics & Professionalism in Financial Advice - Kaplan |
| Eben Lok | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan Professional Education ~ Graduate Diploma of Financial Planning - Kaplan Professional Education ~ Master of Financial Planning - Kaplan Professional Education ~ Master of Financial Planning - Kaplan Professional Education |
| James Dodd | 0 | Bachelor of Commerce - University of Adelaide ~ Graduate Diploma of Financial Planning - Kaplan |
| Janine Margaret Williamson | 1996 | Accredited Aged Care Professional - Aged Care Steps ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Financial Advisor Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan |
| Jessica Cumming | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Quantitative Finance - University of South Australia ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA |
| Mary Golding | 0 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Sarah Margaret Parsons | 2016 | Accountants Self Managed Superannuation Funds Package - Kaplan ~ Bachelor of Commerce - University of South Australia ~ Chartered Accountant - CAANZ ~ Financial Adviser Exam - FASEA |
| Tricia J Kleinig | 2016 | Accountants Self Managed Superannuation Funds Package - Kaplan ~ Bachelor of Economics(Accounting) - Flinders University ~ Chartered Accountant - CAANZ ~ Financial Adviser Exam - FASEA |