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 | 2002 - Bachelor of Business (Banking & Finance) - - University of South Australia ~ 2008 - Graduate Certificate in Financial Planning - - Financial Services Institute of Australia ~ 2013 - Master of Applied Finance - - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Financial Adviser Exam - Other - FASEA |
| Adrian Scott Frinsdorf | 1995 | 1994 - Bachelor of Accountancy - - University of South Australia ~ 2004 - Diploma of Financial Planning - - Deakin University ~ 2014 - Certificate IV in Finance & Mortgage Broking - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Financial Adviser Exam - Other - FASEA |
| Alessandra Marie Forero Morales | 2018 | 2012 - Diploma in Financial Planning - - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan ~ 2018 - Accredited Aged Care Professional - - Aged Care Steps ~ 2020 - Financial Adviser Exam - Other - FASEA ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Andrew Thomas Barlow | 2014 | 2008 - Bachelor of Commerce (Corporate Finance, Accounting) - - University of Adelaide ~ 2012 - Advanced Diploma of Financial Planning - - Kaplan ~ 2015 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2019 - Financial Adviser Exam - Other - FASEA |
| Catherine Louise Dichiera | 2023 | 2008 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - FINSIA ~ 2009 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Christopher Aldo Franco | 2022 | 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - UniSA ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2021 - Financial Adviser Exam - Other - FASEA ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Danielle Brooke Jones | 2014 | 2011 - Bachelor of Business (Commercial Law) - Bachelor Degree (AQF 7) - University of South Australia ~ 2014 - Diploma Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Advanced Diploma Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Client Engagement Skills - Bridging Course - Other - Kaplan |
| Eben Lok | 2014 | 2014 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2015 - Graduate Diploma of Financial Planning - - Kaplan Professional Education ~ 2015 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education ~ 2016 - Master of Financial Planning - - Kaplan Professional Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Financial Adviser Exam - Other - FASEA |
| James Dodd | 2024 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Adelaide ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Janine Margaret Williamson | 1996 | 1999 - Certified Financial Planner - - Financial Planning Association of Australia ~ 1999 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2014 - Accredited Aged Care Professional - - Aged Care Steps ~ 2020 - Financial Advisor Exam - Other - FASEA ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Jessica Cumming | 2018 | 2007 - Bachelor of Quantitative Finance - - University of South Australia ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Financial Adviser Exam - Other - FASEA |
| Mary Golding | 0 | 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Sarah Margaret Parsons | 2016 | 2000 - Bachelor of Commerce - - University of South Australia ~ 2007 - Chartered Accountant - - CAANZ ~ 2016 - Accountants Self Managed Superannuation Funds Package - - Kaplan ~ 2021 - Financial Adviser Exam - Other - FASEA |
| Tricia J Kleinig | 2016 | 1989 - Bachelor of Economics(Accounting) - - Flinders University ~ 1992 - Chartered Accountant - - CAANZ ~ 2016 - Accountants Self Managed Superannuation Funds Package - - Kaplan ~ 2021 - Financial Adviser Exam - Other - FASEA |