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 and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Abdul Ikraan | 1992 | 2000 - Diploma of Financial Planning - DFP 1 - 4 - - Financial Planning Association ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2019 - SMSF Association: SMSF Specialist Advisor Designation - - SMSF Association |
| Adam Paul French | 2001 | 1997 - Bachelor of Commerce (Accounting & Marketing) - Bachelor Degree (AQF 7) - University of Tasmania ~ 2005 - Diploma of Financial Advising - Diploma (AQF 5) - FINSIA ~ 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - AMP Financial Services |
| Andrew Charles Dunbar Collis | 1998 | 2002 - Diploma of Financial Planning - - Financial Planning Assocation of Australia ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2012 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Andrew James George | 1999 | 1998 - Bachelor of Business - - Swinburne University of Technology ~ 2002 - Diploma of Financial Planning - - Deakin University ~ 2006 - Certified Financial Planner - - FPA ~ 2010 - Graduate Diploma of Applied Financie - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2012 - Margin Lending - Certificate (AQF 1-4) - Kaplan Professional |
| Andrew James Goggin | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - - PS146 Training Australia ~ 2008 - Graduate Diploma of Applied Finance and Investment (Investment Management Stream) - - FINSIA ~ 2012 - Diploma of Financial Services (Finance/Mortgage Broking Management) - - AAMC Training Group ~ 2015 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2018 - Master of Applied Finance - - Kaplan Professional |
| Andrew John Julius | 2015 | 1995 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology Sydney (UTS) ~ 2002 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2012 - Graduate Diploma in Applied Finance - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology Pty Ltd (IIT) ~ 2018 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional |
| Andrew Scott Townsend | 1999 | 2001 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2005 - Certified Financial Planner - - Financial Planning Association ~ 2011 - Margin Lending - - MLC ~ 2012 - Cavendish & ICFS Specialist SMSF Course - - The University of Adelaide |
| Andrew Zane Cox | 2008 | 1993 - Bachelor of Applied Science (Rural Technology) - - University of Queensland ~ 2004 - Master of Business Administration - - James Cook University ~ 2008 - DFS(FP) - Securities and Derivatives - - GWM Adviser Services/Three Sixty ~ 2010 - Graduate Diploma of Applied Finance (Financial Planning) - - Kaplan Professional ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional |
| Anirudha Maiti | 2012 | 2000 - Bachelor of Commerce (Honours) - - University of Calcutta ~ 2012 - Diploma in Financial Services (Financial Planning) - - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Anthony Charles Stedman | 1991 | 1997 - CFP - - Financial Planning Association ~ 2010 - SMSF Specialist Advicer - - Self Managed Super Fund Association ~ 2011 - Margin Lending and Gearing - - Kaplan |
| Anthony John Macerola | 1989 | 1996 - Certificat course on Investment and Personal Financial Planning - - Investment Training College ~ 2003 - Approved Gearing - - Financial Planning Association ~ 2004 - Risk Competency - - Financial Wisdom ~ 2004 - Small Super Funds - - Financial Planning Association ~ 2009 - Certificate IV In financial Services - - The Natioal Finance Institute |
| Ashley Montesin | 2011 | 2008 - Bachelor of Business (Applied Finance) - - University of Western Sydney ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Athanasios Papoulias | 2006 | 2000 - Bachelor Of Commerce - - University Of Queensland ~ 2005 - Bachelor of Business (Financial Planning) - - Royal Melbourne Institute of Technology ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Bradley Wayne Smith | 1991 | 2003 - Diploma Of Financial Planning - - FPA |
| Bruce Gilbert | 1991 | 2003 - Diploma of Financial Planning - - Deakin University / Financial Planning Association |
| Charmaine Hall | 2012 | 2009 - Diploma of Financial Services (Financial Planning) - - ThreeSixty (MLC Education) ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Clinton Barry Fleming | 2014 | 2013 - Master of Business (Applied Finance) - Bachelor Honours Degree (AQF 8) - Queensland University of Technology ~ 2014 - Superannuation and Life Insurance Skills - Certificate (AQF 1-4) - Kaplan Professional |
| Corey Thomas Kovac | 2024 | 2018 - Diploma of Accounting - Diploma (AQF 5) - TAFESA ~ 2021 - Bachelor of Business in Financial Planning - Bachelor Degree (AQF 7) - University of South Australia ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Craig Allen Coates | 1989 | 2002 - Diploma of Financial Planning - - Financial Planning Assocation of Australia ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2012 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy |
| Gary Donald Shannon | 1989 | 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2011 - Margin Lending & Geared Investments - Certificate (AQF 1-4) - Kaplan Professional |
| Gary Sandtner | 1992 | 1996 - Certificate in Financial Markets - - Securities Institute/Finsia ~ 1998 - Diploma of Financial Planning - - Financial Planning Association |
| Geoffrey John Sprott | 2000 | 2005 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Grant David Simpson | 1985 | 2002 - Certified Financial Planner - - Financial Planning Association ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2005 - SMSF - - Centre For Adviser development ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Gretel Alexandra Chiswell | 2018 | 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2020 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Gus William Eric Flack | 2009 | 2008 - Bachelor of Commerce - Applied Finance (Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong |
| Harrison Doyle | 0 | 2022 - Bachelor of Commerce (Major in Accounting and Financial Advising) - Bachelor Degree (AQF 7) - James Cook University |
| Hugo Jonathan Berkeley Sampson | 2007 | 2007 - Bachelor of Business - - Royal Melbourne Institute of Technology ~ 2008 - Diploma of Financial Services - - Mentor Education |
| Ioannis Vaitsas | 2000 | 1993 - Bachelor of Business (Accountancy) - - Queensland University of Technology ~ 1995 - Graduate Diploma of Business Administration (Management) - - Queensland University of Technology ~ 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2004 - Self Managed Superannuation Funds - - Kaplan Education Pty Ltd ~ 2010 - Margin Lending and Geared Investments - - Kaplan |
| Jason John Burnell | 2006 | 2007 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy ~ 2012 - Master of Commerce (Financial Planning) - - University of Western Sydney |
| Jinwei Zuo | 2015 | 2014 - Master of Management (Enterprise Management) - - Peking University (China) ~ 2015 - Diploma of Financial Planning - - Mentor Education Pty Ltd ~ 2016 - Name of Course ADFS(FP): Taxation - - Mentor Education ~ 2016 - Self Managed Superannuation Funds - - Mentor Education ~ 2017 - Advanced Diploma of Financial Planning - - Mentor Education |
| John BU | 2005 | 2001 - Bachelor of Business (Accounting) - - Monash University ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2012 - Certified Financial Planner - Certificate (AQF 1-4) - Financial Planning Association of Australia ~ 2012 - Master of Financial Planning - - RMIT University ~ 2020 - ASX Listed Products Accreditation Course (LPAC) - Certificate (AQF 1-4) - LPAC Online |
| John Francis Saunders | 1990 | 1997 - Advanced Diploma - Applied Finance and Investment - - Finsia ~ 1998 - Diploma - Financial Planning - - Deakin University |
| Jonathan Leigh Dunne | 2004 | 2004 - Diploma of Financial Planning - - Financial Planning Assocation of Australia ~ 2009 - Accredited Listed Product Adviser Program (ALPA) - - Kaplan Professional ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2012 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Justin Sean Daines | 2000 | 2004 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional (formerly Tribeca) ~ 2017 - Advanced Diploma of Financial Planning - - Mentor Education |
| Karthik Ganapathy Sivashanmugham | 2014 | 2007 - Masters Degree - Business - - Victoria University ~ 2009 - Diploma - Financial Planning - - ThreeSixty ~ 2015 - Certified Financial Planner - - Financial Planning Association |
| Kirstie London | 0 | 2019 - Bachelor of Business Major in Management - Bachelor Degree (AQF 7) - Griffith University ~ 2022 - Graduate Diploma of Financial Planing - Graduate Diploma (AQF 8) - Swinburne University |
| Kristy Louise Macdonald | 2002 | 2005 - Advance Diploma of Financial Services - - FPA ~ 2007 - CFP - - FPA ~ 2012 - ICFS Specialist SMSF - - Cavendish-Uni of Adelaide |
| Luke Muir | 2013 | 2013 - Graduate Diploma of Financial Planning - - Kaplan Professional ~ 2015 - Master of Financial Planning - - Kaplan Professional |
| Malcolm Bradley Greentree | 2005 | 2004 - Bachelor of Business (Applied Finance) - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca Learning ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Mentor Education ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2013 - Certified Financial Planner - - Financial Planning Association of Australia Limited |
| Mark Ronald Harborne | 1994 | 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2014 - Diploma of Financial Planning - DFP 1 - 4 - - FPA / Kaplan Professional |
| Matthew Carswell | 2009 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Matthew Hilditch | 2006 | 2005 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education |
| Matthew James Myers | 2017 | 2012 - Bachelor of Business (Management) - - University of the Sunshine Coast ~ 2017 - Diploma of Financial Planning - - Kaplan Professional |
| Matthew Peter Meehan | 1996 | 1994 - Bachelor of Financial Administration - - University of New England, Armidale ~ 2005 - Graduate Certificate in Financial Planning - - Securities Institute ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2010 - Self Managed Super Funds - - Kaplan ~ 2011 - Certified Financial Planner - - Deakin University |
| Moiz Mandani | 2016 | 2012 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - Swinburne University of TechNology ~ 2015 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Kaplan Australia ~ 2015 - RG146 Securities & Managed Investments - Diploma (AQF 5) - Kaplan Australia ~ 2017 - RG146 Margin Lending - Diploma (AQF 5) - Kaplan Australia ~ 2018 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) |
| Monik Palany | 0 | 2023 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Swinburne University of Technology |
| Nathan Scott Ide | 2016 | 2009 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Sydney ~ 2018 - Master of Business Administration - - The University of Sydney |
| Neale Gordon Forbes | 2004 | 2001 - Diploma of Financial Planning - - FPA-Deakin ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Neil Mistry | 0 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University |
| Peter Prvulj | 1984 | 1997 - Certified Financial Planner - - Financial Planning association |
| Phillip Mcgann | 2004 | 1989 - Certificate in Financial Markets - - Securities Institute of Australia ~ 1994 - Bachelor of Business (Finance) - - Southern Cross University ~ 1995 - Bachelor of Business (Finance) Honours - - Southern Cross University ~ 1999 - Graduate Diploma in Applied Finance & Invesments - - Securities Institute of Australia ~ 2004 - Graduate Diploma of Financial Planning - - Securities Institute of Australia |
| Rachel Lauren Hubbard | 2025 | 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education |
| Rakesh Stephen Vigh | 2002 | 1998 - Bachelor of Business (Major in Management & Accountancy) - Bachelor Degree (AQF 7) - Queensland Univesrity of Technology ~ 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2022 - Ethics and Professionalism in Financial Advice Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Rebecca Jean Josephine Parkes | 2018 | 2018 - Diploma of Financial Planning - - Kaplan ~ 2021 - Self Managed Superannuation Fund Adviser (Personal Advice) - Other - Mentor Education |
| Reegan Ada Sarah Ann Wass | 2018 | 2012 - Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Graduate Certificate in Financial Planning - - Kaplan Professional |
| Richard Kenneth Rayment | 1992 | 1991 - Bachelor of Economics - - James Cook University ~ 2004 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional (formerly Tribeca) |
| Richard Michael Elmes | 2017 | 2016 - Industry Standard Education - RG146 specialist knowledge - - Griffith University ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Rikarli-ane Rayment | 2018 | 2015 - DFP: Securities and Managed Investments - - Kaplan Professional ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Bachelor of Business and Commerce - - University of Southern Queensland |
| Robert Groznik | 1994 | 1981 - Diploma of Accounting - - TAFE - Wollongong ~ 2003 - Diploma of Financial Planning - DFP 1 - 4 - - Financial Planning Association ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - - Mentor Education |
| Roger William Ward | 1983 | 2002 - Diploma of Financial Planning - DFP 1-4 - - Kaplan Professional ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Mentor Education |
| Ross Glen Fountain | 2011 | 1994 - Bachelor of Applied Science - - Queensland University Technology (QUT) ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Samuel Luke Fletcher | 2007 | 2008 - Graduate Diploma Of Financial Planning - Graduate Diploma (AQF 8) - Finsia |
| Sharon Taggart | 2018 | 2018 - DFP5v4 Tax for Financial Advising - - Kaplan ~ 2018 - Diploma in financial planning - - Kaplan ~ 2018 - Insurance and Risk Protection - - Kaplan ~ 2018 - Superannuation and Retirement Planning - - Kaplan |
| Stephen Noel Blackhall | 1996 | 1997 - Diploma of Superannuation Management - - Association of Superannuation Funds Australia ~ 2011 - SMSF Specialist Accreditation Program - - SMSF Association ~ 2012 - Insurance and Life Skills - - KAPLAN ~ 2016 - Diploma of Financial Planning - - KAPLAN ~ 2016 - TASA and the TPB Code of Professional Conduct - - KAPLAN |
| Stuart James Roe | 2004 | 2007 - Advanced Diploma of Financial Services (Financia - - Tribeca (Kaplan Professional) ~ 2007 - Diploma of Financial Services (Financial Plannin - - Tribeca (Kaplan Professional) ~ 2012 - Fellow, Chartered Financial Practitioner - - Association Financial Advisers ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Timothy Lindsay | 1994 | 1997 - Diploma of Financial Planning - - Financial Planning Association |
| Tommy Laskaris | 1997 | 1995 - Bachelor of Business Banking and Finance - - Queensland Univeristy of Technology ~ 2002 - Diploma of Financial Planning - - FPA ~ 2003 - Certified Financial Planner - - FPA ~ 2014 - ALPA - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Tony Cicchinelli | 1984 | 2005 - Diploma of Financial Planning - DFP 1 - 4 - - Kaplan Professional (formerly Integratec) ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education |
| Troy Wilkinson | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional |