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 |
|---|---|---|
| Aaron Joseph Feher | 2013 | Bachelor of Business - Queensland University of Technology ~ Diploma of Financial Services - MLC Education ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Ahmed El-masri | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business And Commerce (Accounting) - University of Western Sydney ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Amanda Jane Jones | 1999 | Client Engagement Skills - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Andrew Charles Oakley | 2015 | Client Engagement Skills - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Superannuation & Retirement Advice - Kaplan Professional ~ University of Western Australia - Bachelor of Economics |
| Arundeepan Ganesan | 2017 | Accredited Listed Product Adviser Program (ALPA) - Kaplan Professional ~ Bachelor of Business (Accounting) - Victoria University ~ Diploma of Financial Planning - Monarch Institute ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Ashley Smith | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce - University of Melbourne ~ Bachelor of Commerce - University of Melbourne ~ Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Securities and Managed Investments - Kaplan Professional ~ Securities and Managed Investments - Kaplan Professional |
| Benjamin James Palmer Northwood | 2008 | Bachelor of Business - Swinburne University of Technology ~ Diploma of Financial Services - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Branislav Vlacic | 2018 | Bachelor of Commerce (Economics) - University of Wollongong ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Brett Maxwell Hartshorn | 2006 | Accredited Listed Product Adviser Program (ALPA) - Kaplan Professional ~ Bachelor of Arts - University of Sydney ~ Bachelor of Commerce - University of Sydney ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan (formerly FINSIA) |
| Chelsea Campbell | 2003 | Bachelor of Commerce (Economics and Finance) - University of Western Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma in Applied Finance and Investment - Securities Institute (Kaplan Professional) ~ Graduate Diploma of Financial Planning - Securities Institute (Kaplan Professional) |
| Christina Pascal | 2000 | Client Engagement Skills - Kaplan Professional ~ Diploma of Financial Services - Commonwealth Bank ~ Economic & Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Superannuation and Retirement Advice - Kaplan Professional |
| Christopher Burke | 2014 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Commerce - University of Melbourne ~ Diploma of Financial Planning - Mentor Education / RG146 ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Christopher James Brisbane | 2012 | Bachelor of Business - La Trobe University ~ Diploma of Financial Services - Kaplan Professional |
| Daniel Joseph Grisaffi | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business (Banking & Finance) - Queensland University of Technology ~ Bachelor of Information Technology - Queensland University of Technology ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Tier1: (928) Margin Lending - Kaplan Professional |
| David Richardson | 2002 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Client Engagement Skills - Kaplan Professional ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Edward Agius | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Elias Agripanidis | 2011 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Gayle Dawn Wilson | 1996 | Diploma of Financial Planning - Financial Planning Association of Australia ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Jillian Louise Green | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Jingjing (catherine) YE | 2015 | Advanced Diploma of Financial Planning - Inegrity Education Group ~ Bachelor of Commerce (Accounting) - University of Sydney ~ Diplioma of Financial Planning - Integrity Education Group |
| Jodi Renae Mcpherson | 2009 | Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Jonathan O'sullivan | 2016 | Bachelor of Arts (Economics and Geography) - University College Cork - Ireland ~ Diploma of Financial Planning - Kaplan Professional ~ Higher Diploma in Accounting and Corporate Finance - University College Cork - Ireland ~ Securities and Managed Investments - Kaplan Professional |
| Josephine Vann | 2018 | Bachelor of Commerce (Accounting & Finance) - Murdoch University ~ Client Engagement Skills - Kaplan Professional ~ Diploma of Financial Planning - Monarch Institute ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Kim Schap | 2008 | Bachelor of Commerce (Finance & Electronic Commerce) - Curtin University of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional |
| Laura Jillian Baker | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Financial Planning, Accounting & Finance) - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Leigh Alan Parmenter | 2014 | Client Engagement Skills - Kaplan Professional ~ Diploma of Financial Services - Mentor Education / RG146 |
| Mark Osborne | 2008 | Client Engagement Skills - Kaplan Professional ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Certificate in Applied Finance - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Matthew Todd Mcgilvray | 2012 | Bachelor of Commerce (Accounting and Financial Planning) - University of Wollongong ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Paul Peng Yang | 2018 | CERTIFIED FINANCIAL PLANNER - Financial Planning Association of Australia (FPA) ~ Commercial Law - Kaplan Professional ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Master of Finance - Curtin University ~ Master of Financial Planning - Curtin University |
| Ravinder Taneja | 2016 | Advanced Diploma of Financial Planning - Monarch Institute ~ Client Engagement Skills - Kaplan Professional ~ Diploma of financial planning - Monarch Institute ~ Economic & Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Rebecca Lloyd | 2012 | Bachelor of Applied Science - University of Western Sydney ~ Bachelor of Commerce - University of Western Sydney ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Applied Finance (Financial Planning) - Kaplan Professional |
| Reena Arora | 2001 | Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) FNB50802 FNB50199 - Commonwealth Bank |
| Sadiel Sheikh | 2017 | Advanced Diploma of Financial Planning - Integrity Education Group ~ CERTIFIED FINANCIAL PLANNER (CFP) - FPA Australia ~ Diploma of Financial Planning - Integrity Education Group ~ Ethics for Financial Services (Intensive) - Deakin University ~ Master of Financial Planning - Griffith University |
| Samuel Kelly | 2013 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of International Relations - Griffith University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Fellow Chartered Financial Planner (FChFP) - Association of Financial Advisers (AFA) ~ Self-Managed Superannuation Funds - Kaplan Professional |
| Scott Reid | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce - University of Western Australia ~ Diploma of Financial Planning - Kaplan Professional |
| Thomas Michael Preski | 2014 | Advanced Diploma of Financial Planning - Mentor Education / RG146 ~ Bachelor of Commerce - Monash University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Umesh Panta | 2006 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Information Systems (BIS) - Australian Catholic University ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Wei Pan | 2015 | Advanced Diploma of Financial Planning - Mentor Education ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Accounting - University of Western Sydney ~ Master of Commerce - Macquarie University ~ Master of Professional Accounting - University of Western Sydney |
| Weifeng Dong | 2018 | Certified Financial Planner - FPA ~ Degree of Bachelor of Economics (Finance) - Zhongnan University of Economics and Law (China) ~ Degree of Master of Business Administration - Wuhan University ~ Masters in Wealth Management - Deakin University ~ Self Managed Superannuation Funds - Mentor Education |
| Zhiyu Steven Wang | 2010 | Bachelor of Commerce (Finance and International Business) - University of New South Wales ~ Bachelor of Economics - University of New South Wales ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Dip of Financial Planning - Kaplan Professional ~ Tax for Financial Advising TFAv1 - Kaplan Professional |