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;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility; and
superannuation;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
own managed investment scheme only;
MDA services; and
securities;
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;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility; and
superannuation; and
underwriting:
interests in managed investment schemes; and
an issue of securities; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aleksander Urbas | 2017 | Bachelor of Economics - Australian National University ~ Bachelor of Finance - Australian National University ~ Diploma of Financial Planning - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Alexander Baroukh | 2014 | Bachelor of Commerce - University of New South Wales ~ Bachelor of Economics - University of New South Wales ~ Core 1 Securities & Managed Investments accreditation program - Stockbrokers Association of Australia ~ Graduate Diploma of Financial Planning - Kaplan |
| Alexander Edward Hayward | 2011 | Bachelor of Finance - ANU ~ Core 1 Securities & Managed Investments Accreditation Program - Deakin Prime ~ Financial Planning - KAPLAN ~ Masters of Applied Finance - ANU |
| Alexander LE Maistre | 2024 | Bachelor's degree Commerce: Finance and Marketing Science - Monash University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ RG146 - SIAA |
| Alice Browne | 2015 | Bachelor of Commerce - The University of Sydney ~ Core 1: Securities & Managed Investments Accreditation - Stockbrokers Associate on Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Financial Planning - KAPLAN |
| Alison Christine Rodriquez | 2016 | Accredited Derivatives Adviser - Level 1 - Deakin Prime ~ Bachelor of Business (marketing) - Monash University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ FX Accreditation - Stockbrokers Association ~ Graduate Diploma of Applied Finance and Investment - Kaplan |
| Amiee Louise Keys | 2010 | Bachelor of Commerce - University of Canberra ~ Bachelor of Economics - University of Canberra ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
| Andersen Lee | 2018 | Bachelor of Commerce - University of New South Wales ~ Bachelor of Economics - University of New South Wales ~ Core 1 - Securities & Managed Investments Accreditation - Stockbrokers and Financial Advisers Association |
| Andrew Dixon | 2018 | Bachelor of Business Banking & Finance - Monash University ~ RG 146 Securities & Managed Investments - SAA |
| Andrew John Moir | 1992 | ADA 2 - Kaplan ~ Bachelor of Arts (Political Science, Economics) - University of Tasmania ~ RG146 - Deakin Prime |
| Angela Tran | 2018 | Bachelor of Arts - Monash University ~ Bachelor of Commerce - Monash University ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Anthony Chiefari | 2014 | Bachelor of Commerce - The University of Sydney ~ Commercial Law - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Masters of Applied Finance - KAPLAN ~ Tax for Financial Advising - Kaplan Professional |
| Ashley Brent Woodhead | 2010 | Bachelor of Business (Financial Planning) - RMIT ~ Certified Financial Planner - FPA |
| Brian Kim | 2011 | Bachelor of Commerce - University of New South Wales ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Financial Planning - Kaplan |
| Bryce Johansen | 2023 | Bachelor of Business, Finance - Queensland University of Technology ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ RG146 Accreditation: Securities and Managed Investments - SIAA |
| Cameron Hans Malingbrough | 1987 | ADA 2 - Deakin Prime ~ Bachelor of Commerce - University of Melbourne ~ Graduate Diploma in Applied Finance and Investment - The Securities Institute of Australia ~ Graduate Diploma in Applied Finance and Investments - The Securities Institute of Australia ~ Margin Lending and Geared Investments - Kaplan ~ RG 146 - Deakin Prime |
| Cameron Hugh Philpot | 2023 | Business Administration with concentration on finance/economics - University of South Carolina ~ Graduate Diploma of Financial Planning - Graduate Diploma of Financial Planning |
| Charles Lill | 2023 | Bachelor of Arts - Monash University ~ Bachelor of Business - Monash University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ RG146: Securities & Managed Investments - Western Sydney University |
| Christian Edward Beddoe | 2023 | Bachelor of Economics - Sydney University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Craig Daniel Frankpitt | 1998 | ADA 2 - Deakin Prime ~ Bachelor of Commerce - University of Melbourne ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Masters of Commerce (Finance) - University of Melbourne ~ Post Graduate Diploma of Finance - University of Melbourne |
| Damien John Kerr | 2004 | Bachelor of Business (Accounting) - LaTrobe University ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ RG146 - Financial Planning Association |
| Damien Luke Kennedy | 2010 | Bachelor of Business (Accounting/Business Management) - Charles Sturt University ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance - Kaplan |
| Daniel James Thompson | 2016 | Bachelor of Commerce - Australian National University ~ Core 1 Securities & Managed Investments Accreditation Program - Stockbrokers Association of Australia ~ Diploma of Financial Planning - Kaplan Professional |
| Daniel Marc Parasol | 2009 | Bachelor of Commerce - Monash University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ RG146 - Deakin University |
| Daniel Patrick Griffin | 2016 | Bachelor of Commerce - University of Canberra ~ Core 1 Securities & Managed Investments Accreditation - Deakin Prime ~ Diploma of Financial Planning - KAPLAN |
| Daniel Rohan Gumley | 2013 | Bachelor of Commerce - University of Melbourne ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Darcy Kiernan | 2018 | Bachelor of Commerce - University of Melbourne ~ Core 1 - Securities & Managed Investments Accreditation (ASIC RG146) - Stockbrokers and Financial Advisers Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Finance - University of Melbourne |
| David Craig Stevenson | 2000 | ADA 1 - Deakin Prime ~ Bachelor of Commerce - University of Melbourne ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ RG146 - Deakin Prime |
| David Mark Summers | 1989 | ADA 2 - Kaplan ~ Diploma Course of The Securities Institute of Australia - Securities Institute ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Foreign Exchange - Deakin Prime ~ RG146 - Deakin Prime |
| David Wansbrough | 1995 | ADA 2 - Deakin Prime ~ Bachelor of Business - Curtin University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ RG146 - Deakin Prime |
| David William Hay | 2001 | ADA 1 - Deakin Prime ~ Diploma of Business (Banking and Finance) - RMIT ~ RG146 - Deakin University ~ Superannuation - RMIT |
| George David Joseph Goodchild | 2017 | Bachelor of Mathematics (Hons) - University of Portsmouth ~ Core 1 Securities and Managed Investments Accreditation - Stockbrokers Association of Australia ~ Diploma of Financial Planning - Kaplan Professional |
| Glen Pearce | 2018 | Bachelor of Commerce (Finance) - Swinburne University of Technology ~ Core 1 - Securities & Managed Investments Accreditation (ASIC RG146) - Stockbrokers and Financial Advisers Association ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - KAPLAN |
| Hannah Louise Doherty-mcmillan | 2016 | Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Planning - Kaplan |
| Hayden Wong | 2024 | Bachelor of Commerce - University of Sydney ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Hibah Jamal | 2023 | Bachelor of Commerce - University of Melbourne ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Ishara Udarani Rupasinghe | 2009 | Bachelor of Commerce - Australian National University ~ Bachelor of Engineering (with honours) - Australian National University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma of Applied Finance - Kaplan |
| Jake Edwards | 2023 | Bachelor of Commerce - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Graduate Diploma of Financial Planning - Kaplan |
| Jake Raymond Wynan | 2018 | Bachelor of Science in Business Administration (Finance) - University of Louisiana at Lafayette ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending - Kaplan |
| James Alexander Kendall Fletcher | 2014 | Bachelor of Commerce - Monash University ~ Economic and Legal Context in Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ MARGIN LENDING ACCREDITATION PROGRAM - DEAKIN PRIME ~ SECURITIES & MANAGED INVESTMENTS ACCREDITATION PROGRAM - DEAKIN PRIME |
| James Anthony David Morrow | 2011 | Bachelor of Finance - Australian National University ~ Commercial Law - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Tax for Financial Advising - Kaplan Professional |
| James Israel | 2017 | Bachelor of Commerce - UNSW ~ Bachelor of Commerce - University of New South Wales ~ Core 1 Securities & Managed Investments - Stockbrokers Association ~ Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |
| James Lindberg | 2014 | Bachelor of Business (Banking and Finance) - Victoria University ~ Graduate Diploma of Financial Planning - Kaplan |
| James Paterson Bailey | 2007 | Applied Finance - Kaplan ~ Commerce in Accounting - University of Canberra ~ Financial Planning - Kaplan ~ SDIA Securities and Derivatives Industry Association - Stockbrokers Association of Australia ~ SDIA - Securities and Derivatives Industry Association - Stockbrokers Association of Australia ~ SDIA – Securities and Derivatives Industry Association - Stockbrokers Association of Australia |
| James Ronald Evans | 2018 | Bachelor of Commerce - Deakin University ~ Client Engagement Skills - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Rg 146 core: Securities and investments - SAFAA |
| Jarrad Collins | 2007 | Bachelor of Finance - Australian National University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - FINSIA ~ Master of Applied Finance - Kaplan Professional Education |
| Jeremy Law | 2018 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Advanced Diploma of Financial Services - Kaplan ~ B.Econ.Soc.Sci. - Sydney Uni ~ Bachelor of Economics and Social Sciences - University of Sydney ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Jeremy Max Sojka | 2014 | Accredited Derivatives Adviser Level 2 - SAFAA ~ Bachelor of Business - Accounting - Monash University ~ Bachelor of Business - Banking and Finance - Monash University ~ Bachelor of Commerce and Finance - Monash University ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Jessica Lucy Byrne | 2017 | Business Management - RMIT ~ Chartered Alternative Investment Analyst (Level 1) - CAIA ~ Masters of Applied Finance - Kaplan ~ RG146 - Foreign Exchange - Financial Education Professionals |
| Jessica-lea Surlan | 2016 | Bachelor of Commerce - University of Sydney ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ RG146 - Securities and Managed Investments Accreditation Program - Stockbrokers Association of Australia |
| John Hogan | 2015 | Bachelor of Commerce - University of Newcastle ~ Bachelor of Economics - University of Newcastle ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Jonathon Mceniry | 2023 | Bachelor of Commerce - Deakin University ~ Bachelor of Science - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan ~ Securities & Managed Investments - SIAA |
| Joshua Barker | 2023 | Accredited Derivatives Adviser Level 1 (ADA1) Accreditation Program - Stockbrokers And Investment Advisers Association ~ Accredited Derivatives Adviser Level 2 (ADA2) Accreditation Program - Stockbrokers And Investment Advisers Association ~ Bachelor of Commerce - University of Melbourne ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ SAFAA Core 1: SMI - Core 1: Securities and Managed Investments - Stockbrokers And Financial Advisers Association |
| Kane David Miller | 2016 | Bachelor of Commerce - Monash University ~ Chartered Accounting - Institute of Chartered Accountants ~ Client Engagement Skills - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Tier 1 Compliance Solution - Superannuation - Kaplan |
| Kate Elizabeth Soumilas | 2017 | Bachelor of Commerce - Deakin University ~ Bachelor of Law - Deakin University ~ Core 1 Securities and Managed Investment Accreditation Program - Stockbrokers Association of Australia ~ Diploma of Financial Planning - Kaplan |
| Kathleen Dillane | 2022 | Bachelor of Arts - Monash University ~ Bachelor of Commerce - University of Melbourne ~ Graduate Diploma of Financial Planning - Kaplan ~ RG 146 - Kaplan |
| Katie May Loveday | 2015 | Chartered Accountancy - Institute of Chartered Accountants ~ Client Engagement Skills - KAPLAN ~ Commerce - University of Sydney ~ Ethics & Professionalism in Financial Advice - KAPLAN ~ Tier 1 Compliance Solution - Superannuation - Kaplan |
| Katrina Louise Tull | 1987 | ADA 2 - Deakin Prime ~ Bachelor of Economics - Newcastle University ~ Diploma of Applied Finance - SDIA ~ RG146 - Deakin Prime |
| Kimberley Harrison | 2023 | Bachelor of Arts/Bachelor of Business - University of New England ~ Graduate Diploma of Financial Planning - Swinburne University of Technology ~ Master of Financial Planning - Swinburne University of Technology ~ Master of Financial Technologies - Swinburne University of Technology |
| Lucy Eleanor Meagher | 2016 | Accredited Derivatives Adviser Level 1 - SAFAA ~ Bachelor of International and Global Studies - University of Sydney ~ Client Engagement Skills - Kaplan ~ Ethics in Professionalism and Financial Advice - Kaplan ~ Foreign Exchange Accreditation Program - SAFAA |
| Lucy Pentelow | 2024 | Bachelor of Applied Finance - Macquarie University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Luke Fussell | 2018 | Core 1 - Securities & Managed Investments Accreditation - Stockbrokers and Financial Advisers Association ~ Economic and Legal Context for Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Marc Ramon Huinink | 1998 | Bachelor of Economics - Monash University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Chartered Accountant (CA) - Institute of Chartered Accountants ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance and Investment - Securities Institute |
| Mark Noel Hogan | 2017 | Bachelors of Economics - University of New South Wales ~ Diploma of Financial Planning - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan ~ Masters in Professional Accounting (MPA) - RMIT University ~ SAA Core 1 Securities and Managed Investment Accreditation Program - Stockbrokers Association of Australia |
| Matthew Poynton | 2017 | Bachelor of Commerce - University of Wollongong ~ Diploma of Financial Planning - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ RG146 - Kaplan |
| Matthew Turner | 2015 | Bachelor of Applied Finance - Macquarie University ~ Bachelor of Economics - Macquarie university ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ RG146 - Stockbrokers Association of Australia |
| Melanie Stone | 2018 | Bachelor of Commerce - Deakin University |
| Michael James Clegg | 2004 | Accredited Derivatives Adviser Level 2 - Deakin Prime ~ Bachelor of Commerce - University of Sydney |
| Michael Tony Kostos | 2017 | Bachelor of Business (Banking and Finance) - Monash University ~ Certified Financial Planner - Financial Planning Association fo Australia ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Self Managed Superannuation Funds - Kaplan Professional |
| Millie Ferguson | 2024 | Bachelor of Advanced Finance and Economics (Honour) - University of Queensland ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Monique Elwyn Gourlay | 1998 | Bachelor of Commerce (Honours) - University of Melbourne ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ RG146 - Deakin Prime |
| Nadine Florenini | 2015 | Advanced Diploma of Financial Planning - Kaplan ~ Client Engagement Skills - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Tier 1 Derviatives - Kaplan |
| Nicholas Edward Gordon | 1992 | ADA 2 - Deakin PRime ~ Bachelor of Business (Economics) - Monash University ~ RG146 - Deakin Prime ~ Responsible Executive - Stockbrokers Association of Australia |
| Nicholas Ries | 2009 | Bachelor of Business Management - Monash ~ Diploma of Financial Services in Financial Planning - RG 146 Training Australia ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Patrick DI Giannantonio | 2024 | Bachelor of Business - University of Technology, Sydney ~ Diploma in Innovation - University of Technology, Sydney ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Paul Henri Benveniste | 1997 | ADA 1 - Deakin Prime ~ Bachelor of Commerce - University of Adelaide ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Financial Planning - Securities Institute ~ Margin Lending & Geared Investments - Kaplan |
| Peter Konstantine Jorgensen | 2008 | Accredited Derivatives Adviser 1 - Deakin Prime ~ Accredited Derivatives Adviser 2 - Deakin Prime ~ Master of Business Administration - The University of Edinburgh ~ RG146 - Deakin Prime |
| Philip Damien Anglin | 2000 | ADA 1 - Deakin Prime ~ Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ RG146 - Financial Planning Assoc of Aust |
| Pieter Francois Scheepers | 2015 | Bachelor of Commerce (Hons) - University of Stellenbosch ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Masters of Business in Finance - University of Technology Sydney ~ Securities & Managed Investments Accreditation Program - Stockbrokers Association of Australia |
| Randall Fulton - Boote | 2013 | Bachelor of Business Administration - Macquarie University ~ Bachelor of Economics - Macquarie University ~ Core 1 Securities & Managed Investments Accreditation Program - Deakin Prime ~ Graduate Diploma of Financial Planning - Kaplan |
| Robert Raymond Tayoun | 2012 | Bachelor of Commerce - University of Wollongong ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Masters of Applied Finance - Kaplan |
| Ryan James Cormican | 2012 | Bachelor of Economics - Macquarie University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Core 1 - Securities & Managed Investments Accreditation - Stockbrokers and Financial Advisers Association ~ Masters of Applied Finance - Kaplan |
| Samuel Jones | 2018 | Bachelor of Business (International Business) - Swinburne University ~ Core 1 - Securities & Managed Investments Accreditation - Stockbrokers Association of Australia ~ Graduate Certificate of Applied Finance - Kaplan |
| Saurav Patel | 2022 | Bachelor of Commerce - The Australian National University ~ Bachelor of Finance - The Australian National University ~ Graduate Diploma of Financial Planning - Kaplan |
| Tom Richardson | 2018 | Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ RG 146 Securities and Managed Investments, Superannuation, Margin Lending - Stockbrokers Association |
| Wanhee Lee | 2003 | Accredited Derivatives Adviser - Deakin Prime ~ Bachelor of Commerce (Accounting and Finance) - University of New South Wales ~ Client Engagement Skills - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |
| William Edward Richardson | 2014 | Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ RG146 - Kaplan |
| William Gregg | 2016 | Accredited Derivatives Adviser Level 1 and 2 - Deakin Prime ~ Bachelor of Business Economics - Hertfordshire University ~ RG 146 - Mentor Education; RG146 Training Australia Pty Ltd |