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;
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;
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 clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Abdul Ikraan | 1992 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - DFP 1 - 4 - Financial Planning Association ~ Margin Lending & Geared Investments - Kaplan Professional ~ SMSF Association: SMSF Specialist Advisor Designation - SMSF Association |
| Adam Watts | 2004 | Bachelor of Commerce - Monash University ~ Graduate Diploma of Finance and Investment - Securities Institute ~ Graduate Diploma of Financial Planning - Securities Institute |
| Adriana Leung | 1997 | Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Kaplan (formerly Tribeca) ~ Certificate IV in Financial Services - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |
| Amanda Montesin | 2010 | Bachelor of Business & Commerce - Western Sydney University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Andrew Charles Dunbar Collis | 1998 | Diploma of Financial Planning - Financial Planning Assocation of Australia ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Margin Lending & Geared Investments - Kaplan Professional |
| Anthony Charles Stedman | 1991 | CFP - Financial Planning Association ~ Margin Lending and Gearing - Kaplan ~ SMSF Specialist Advicer - Self Managed Super Fund Association |
| Anthony John Macerola | 1989 | Approved Gearing - Financial Planning Association ~ Certificat course on Investment and Personal Financial Planning - Investment Training College ~ Certificate IV In financial Services - The Natioal Finance Institute ~ Risk Competency - Financial Wisdom ~ Small Super Funds - Financial Planning Association |
| Anthony Philip Roe | 2003 | Advanced Diploma of Accounting - TAFE ~ Bachelor of Arts - Flinders University ~ Diploma in Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Diploma of Property Services (Agency Management) - TAFE |
| Ashley Montesin | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Applied Finance) - University of Western Sydney ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |
| Bradley Wayne Smith | 1991 | Diploma Of Financial Planning - FPA |
| Brett John Schreiber | 1994 | Bachelor of Commerce - University of Queensland ~ CFPB The Process of Financial Planning - Financial Planning Association ~ Master of Taxation Law - University of New South Wales |
| Brian William Hade | 1984 | Certified Financial Planner - Financial Planning Association |
| Bruce Gilbert | 1991 | Diploma of Financial Planning - Deakin University / Financial Planning Association |
| Cesare Verna | 1997 | Diploma of Financial Services - Financial Planning Association |
| Craig Allen Coates | 1989 | Diploma of Financial Planning - Financial Planning Assocation of Australia ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Margin Lending & Geared Investments - Kaplan Professional |
| David Bruce Pain | 1991 | Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Margin Lending & Geared Investments - Kaplan Professional |
| David Steele Redford Harrison | 1991 | PS146 - integratec |
| Deidre Lynette Walsh | 1990 | Diploma of Financial Planning - Financial Planning Association (FPA) ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Margin Lending & Geared Investments - Kaplan Professional |
| Geoffrey John Sprott | 2000 | Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Grant David Simpson | 1985 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared investments - Kaplan ~ Master of Financial Planning - Griffith University ~ SMSF - Centre For Adviser development |
| Hank Van Gasselt | 1981 | Estate Planning - FPA Melbourne ~ Introduction to Financial Planning - FPA Melbourne ~ Retirement Planning & Investment Planning-Fundamentals - FPA Melbourne ~ Risk Manangement & Insurance Planning - FPA Melbourne |
| Hugo Jonathan Berkeley Sampson | 2007 | Bachelor of Business - Royal Melbourne Institute of Technology ~ Diploma of Financial Services - Mentor Education |
| Jinwei Zuo | 2015 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - Mentor Education Pty Ltd ~ Master of Management (Enterprise Management) - Peking University (China) ~ Name of Course ADFS(FP): Taxation - Mentor Education ~ Self Managed Superannuation Funds - Mentor Education |
| John BU | 2005 | Bachelor of Business (Accounting) - Monash University ~ Margin Lending & Geared Investments - Kaplan Professional ~ Master of Financial Planning - RMIT University |
| John Francis Saunders | 1990 | Advanced Diploma - Applied Finance and Investment - Finsia ~ Diploma - Financial Planning - Deakin University |
| Jonathan Leigh Dunne | 2004 | Accredited Listed Product Adviser Program (ALPA) - Kaplan Professional ~ Diploma of Financial Planning - Financial Planning Assocation of Australia ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Margin Lending & Geared Investments - Kaplan Professional |
| Justin Sean Daines | 2000 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional (formerly Tribeca) |
| Kelly Menzies | 2016 | Graduate Diploma of Financial Planning - FINSIA Education (Kaplan Professional) |
| Kevin Bellet | 2015 | Diploma of Financial Planning - TAFE - Barton / Holmesglen |
| Kristy Louise Macdonald | 2002 | Advance Diploma of Financial Services - FPA ~ CFP - FPA ~ ICFS Specialist SMSF - Cavendish-Uni of Adelaide |
| Luke Muir | 2013 | Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Michael Charles Spratt | 2008 | Diploma of Financial Planning - Financial Planning Assocation of Australia ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Margin Lending & Geared Investments - Kaplan Professional |
| Michael Peros | 2006 | Bachelor of Commerce - Deakin University ~ Certified Financial Planner - Financial Planning association |
| Milutin Petrovic | 2008 | Bachelor of Commerce (Financial Planning and Accounting) - Deakin University ~ Certificate IV in Finance and Mortgage Broking - The National Finance Institute ~ Diploma of Financial Services (Insurance Broking) - National Insurance Brokers Association (NIBA) ~ Master of Financial Planning - Kaplan Professional |
| Mort Wagner | 1984 | Certified Financial Planner - Financial Planning Association |
| Nathan Scott Ide | 2016 | Business Commerce - University of Sydney ~ Diploma of Finance and Mortgage Broking Management - Upgrade Module - Kaplan Professional and Kaplan Higher Education Pty Ltd ~ Diploma of Financial Planner - Kaplan ~ Master of Business Administration - The University of Sydney |
| Nicole L Christie | 2015 | Diploma of Financial Planning - Internation Institute of Technology ~ Graduate Diploma of Applied Finance and Investment - Finsia |
| Noel Henry Bamford | 1971 | Certificate IV in Financial Services (Finance/Mortgage Broking) - AAMC ~ Certified Financial Planner - FPA ~ Margin Lending - Kaplan |
| Peter Bruce Wilson | 1994 | CFP - FPA ~ diploma Of Financial Planning - Financial Planning Association |
| Peter Michael Anderson | 1991 | Bachelor of Accounting - University of South Australia ~ Diploma of Financial Planning - Financial Planning Association ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Margin Lending & Geared Investments - Kaplan Professional |
| Peter Prvulj | 1984 | Certified Financial Planner - Financial Planning association |
| Richard Kenneth Rayment | 1992 | Bachelor of Economics - James Cook University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional (formerly Tribeca) |
| Rikarli-ane Rayment | 2018 | Bachelor of Business and Commerce - University of Southern Queensland ~ DFP: Securities and Managed Investments - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional |
| Rudolf Ernest Kristiani | 1994 | Diploma of Financial Planning - Financial Planning Association of Australia ~ Margin Lending & Geared Investments - Kaplan Professional |
| Sharon Taggart | 2018 | DFP5v4 Tax for Financial Advising - Kaplan ~ Diploma in financial planning - Kaplan ~ Insurance and Risk Protection - Kaplan ~ Superannuation and Retirement Planning - Kaplan |
| Spencer Madhanayake | 2014 | Advanced Diploma of Financial Planning - Mentor Education ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - The National Finance Institute ~ Diploma of Financial Planning - Mentor Education / RG146 |
| Steven Noel Lippiatt | 2000 | Diploma of Financial Planning - Deakin University ~ Diploma of Financial Planning - Financial Planning Association of Australia |
| Stuart James Roe | 2004 | Advanced Diploma of Financial Services (Financia - Tribeca (Kaplan Professional) ~ Diploma of Financial Services (Financial Plannin - Tribeca (Kaplan Professional) ~ Fellow, Chartered Financial Practitioner - Association Financial Advisers ~ Margin Lending - Kaplan Professional |
| Stuart Skidmore | 2008 | Advanced Diploma Financial Planning FNS60410 - Mentor Education ~ Bachelor Business (Economics & Finance) - RMIT ~ Certified Financial Planner - Financial Planning Association ~ Diploma Financial Services (Financial Planning) FNS50804 - Mentor Education ~ Margin Lending & Geared Investments - Kaplan Professional |
| Terry Barron | 1987 | CFP - FPA ~ Diploma of Financial Planning - FPA ~ ICFS Specialist for SMSF - Cavendish - University of Adelaide |
| Thomas James Curtis | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Corporate Finance) - University of Adelaide ~ Diploma of Financial Planning - Kaplan Professional ~ Margin Lending - Kaplan Professional |
| Thomas Skidmore | 2007 | Advanced Diploma Financial Planning - Mentor ~ Diploma - Business - RMIT ~ Diploma - Financial Planning - Mentor Training ~ Fellow Chartered Financial Practitioner - Association of Financial Advisers |
| Timothy Lindsay | 1994 | Diploma of Financial Planning - Financial Planning Association |
| Tony Cicchinelli | 1984 | Diploma of Financial Planning - DFP 1 - 4 - Kaplan Professional (formerly Integratec) |
| Wijayananda Tikiri Bandara | 1993 | Diploma of Financial Planning - Financial Planning Association |