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;
general insurance 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); and
from 1 July 2022, securities in a CCIV;
superannuation; and
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:
general insurance products;
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; and
superannuation; and
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;
general insurance 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); and
superannuation;
from 1 July 2022, securities in a CCIV;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Ahmed El-masri | 2016 | 2013 - Bachelor of Business And Commerce (Accounting) - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Ali Mostaghimi | 2005 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - ThreeSixty ~ 2009 - Master of Commerce (Financial Planning) - Masters Degree (AQF 9) - University of Western Sydney ~ 2009 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2022 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Amanda Jane Jones | 1999 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2020 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Ameet Kalro | 2014 | 2006 - Master of Professional Accounting (International Business) - Masters Degree (AQF 9) - University of Tasmania ~ 2013 - Diploma of Financial Planning FNS50611 - Diploma (AQF 5) - Mentor Education ~ 2018 - Advanced Diploma of Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Mentor Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Andrew Charles Oakley | 2015 | 1995 - University of Western Australia - - Bachelor of Economics ~ 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Superannuation & Retirement Advice - Graduate Diploma (AQF 8) - Kaplan Professional |
| Arundeepan Ganesan | 2017 | 2005 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Victoria University ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2023 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional |
| Ashley Smith | 2016 | 2011 - Bachelor of Commerce - - University of Melbourne ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Securities and Managed Investments - - Kaplan Professional ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2022 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan professional |
| Benjamin James Palmer Northwood | 2008 | 2006 - Bachelor of Business - - Swinburne University of Technology ~ 2008 - Diploma of Financial Services - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Branislav Vlacic | 2018 | 2014 - Bachelor of Commerce (Economics) - - University of Wollongong ~ 2018 - Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Brett Maxwell Hartshorn | 2006 | 2003 - Bachelor of Arts - - University of Sydney ~ 2003 - Bachelor of Commerce - - University of Sydney ~ 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan (formerly FINSIA) ~ 2019 - Accredited Listed Product Adviser Program (ALPA) - - Kaplan Professional ~ 2022 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Chelsea Campbell | 2003 | 1998 - Bachelor of Commerce (Economics and Finance) - - University of Western Sydney ~ 2002 - Graduate Diploma in Applied Finance and Investment - - Securities Institute (Kaplan Professional) ~ 2005 - Graduate Diploma of Financial Planning - - Securities Institute (Kaplan Professional) ~ 2020 - Ethics and Professionalism in Financial Advice - Other - Kaplan |
| Christina Pascal | 2000 | 2004 - Diploma of Financial Services - - Commonwealth Bank ~ 2021 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2021 - Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Superannuation and Retirement Advice - Other - Kaplan Professional |
| Christopher James Brisbane | 2012 | 2011 - Bachelor of Business - - La Trobe University ~ 2011 - Diploma of Financial Services - - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2023 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional |
| Christopher Lehoczky | 2014 | 2008 - Bachelor of Commerce(Finance & Economics) - Bachelor Degree (AQF 7) - Curtin University ~ 2011 - Master of Financial Planning - Masters Degree (AQF 9) - Curtin University ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Daniel Joseph Grisaffi | 2004 | 2004 - Bachelor of Business (Banking & Finance) - - Queensland University of Technology ~ 2004 - Bachelor of Information Technology - - Queensland University of Technology ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2017 - Tier1: (928) Margin Lending - - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| David Richardson | 2002 | 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2021 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2021 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Elias Agripanidis | 2011 | 2007 - Diploma of Financial Services (Financial Planning) - - Mentor Education ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2014 - Graduate Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Master of Financial Planning - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Other - Kaplan Professional |
| Henriette Falkenberg | 2016 | 2013 - Bachelor of Business and Commerce (Hospitality Management) - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2014 - Master of Applied Finance - Masters Degree (AQF 9) - University of Western Sydney ~ 2015 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Jillian Louise Green | 2011 | 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Jingjing (catherine) YE | 2015 | 2012 - Bachelor of Commerce (Accounting) - - University of Sydney ~ 2015 - Diplioma of Financial Planning - - Integrity Education Group ~ 2016 - Advanced Diploma of Financial Planning - - Inegrity Education Group |
| Jodi Renae Mcpherson | 2009 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2021 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Khalil (charlie) Daher | 2018 | 2013 - Bachelor of Commerce (Accountancy & Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2020 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Kim Schap | 2008 | 2004 - Bachelor of Commerce (Finance & Electronic Commerce) - - Curtin University of Technology ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Laura Jillian Baker | 2014 | 2014 - Bachelor of Commerce (Financial Planning, Accounting & Finance) - - Deakin University ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Mark Malhi | 2013 | 2012 - Bachelor of Business (Marketing) - - Griffith University ~ 2012 - Bachelor of Commerce (Finance) - - Griffith University ~ 2012 - Diploma of Financial Planning - - Kaplan Professional ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Mark Osborne | 2008 | 2013 - Graduate Certificate in Applied Finance - - Kaplan Professional ~ 2021 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2021 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Matthew Todd Mcgilvray | 2012 | 2010 - Bachelor of Commerce (Accounting and Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Mengyao Liu | 2017 | 2013 - Bachelor of Commerce (Accounting and Accounting Technologies) - - Curtin University of Technology ~ 2015 - Diploma of Financial Planning - - AAMC Training Group ~ 2015 - Master of Commerce - - University of Western Australia ~ 2018 - DFP: Self Managed Superannuation Funds - - AAMC Training Group ~ 2020 - Ethics and Professionalism in Financial Advice - Other - Kaplan Professional |
| Paul Peng Yang | 2018 | 2012 - Master of Finance - Masters Degree (AQF 9) - Curtin University ~ 2014 - Master of Financial Planning - Masters Degree (AQF 9) - Curtin University ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - CERTIFIED FINANCIAL PLANNER - Other - Financial Planning Association of Australia (FPA) ~ 2022 - Commercial Law - Other - Kaplan Professional |
| Peter-rhys Leikas | 2017 | 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - - Monarch Institute |
| Ravinder Taneja | 2016 | 2005 - Postgraduate Diploma in Business Administration (MBA - Finance) - Masters Degree (AQF 9) - Jaipuria Institute of Management, Lucknow ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2021 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional |
| Rebecca Lloyd | 2012 | 2003 - Bachelor of Applied Science - - University of Western Sydney ~ 2003 - Bachelor of Commerce - - University of Western Sydney ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Master of Applied Finance (Financial Planning) - - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Reena Arora | 2001 | 2003 - Diploma of Financial Services (Financial Planning) FNB50802 FNB50199 - - Commonwealth Bank ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) FNS60404 - - Kaplan Professional |
| Sadiel Sheikh | 2017 | 2014 - Diploma of Financial Planning - - Integrity Education Group ~ 2015 - Advanced Diploma of Financial Planning - - Integrity Education Group ~ 2017 - Master of Financial Planning - - Griffith University ~ 2021 - Ethics for Financial Services (Intensive) - Bridging Course - Ethics - Deakin University ~ 2022 - CERTIFIED FINANCIAL PLANNER (CFP) - Professional Designations - FPA Australia |
| Samuel Kelly | 2013 | 2011 - Bachelor of International Relations - - Griffith University ~ 2014 - Advanced Diploma of Financial Planning - - Monarch Institute ~ 2014 - Self-Managed Superannuation Funds - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Fellow Chartered Financial Planner (FChFP) - Professional Designations - Association of Financial Advisers (AFA) |
| Sulekha Kumar | 2016 | 2009 - Bachelor of Commerce - Majoring in Finance, Financial Planning and Commercial Law - Bachelor Degree (AQF 7) - Deakin University |
| Thomas Michael Preski | 2014 | 1998 - Bachelor of Commerce - - Monash University ~ 2014 - Advanced Diploma of Financial Planning - - Mentor Education / RG146 ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Umesh Panta | 2006 | 2003 - Bachelor of Information Systems (BIS) - - Australian Catholic University ~ 2007 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Wei Pan | 2015 | 2006 - Master of Commerce - - Macquarie University ~ 2007 - Graduate Diploma in Accounting - - University of Western Sydney ~ 2009 - Master of Professional Accounting - Masters Degree (AQF 9) - University of Western Sydney ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Weifeng Dong | 2018 | 2003 - Degree of Bachelor of Economics (Finance) - - Zhongnan University of Economics and Law (China) ~ 2008 - Degree of Master of Business Administration - - Wuhan University ~ 2009 - Masters in Wealth Management - Masters Degree (AQF 9) - Deakin University ~ 2019 - Certified Financial Planner - Graduate Diploma (AQF 8) - FPA ~ 2019 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Mentor Education |
| Zhiyu Steven Wang | 2010 | 2010 - Bachelor of Commerce (Finance and International Business) - - University of New South Wales ~ 2010 - Bachelor of Economics - - University of New South Wales ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2022 - Graduate Dip of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |