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;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives; 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;
derivatives;
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 |
|---|---|---|
| Adrian Pelligra | 2013 | 2010 - Bachelor of Finance (Major in Financial Planning) - - LaTrobe University ~ 2010 - LST1BSL Business Law - Other - La Trobe University ~ 2010 - LST1BSL Business Law - Other - LaTrobe University ~ 2014 - Accredited Margin Lending - - Kaplan ~ 2014 - Accredited SMSF - Other - Kaplan ~ 2017 - CFP1+2+3+4+C - Other - FAAA ~ 2017 - CFP1+2+3+4+C - Other - FPA ~ 2017 - Certified Financial Planner - - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Other - Kaplan |
| Anthony Christopher Kapetanovic | 1996 | 1996 - Associate Diploma of Business (Banking & Finance) - - Box Hill TAFE ~ 2002 - Diploma of Financial Planning CFP - - Deakin University ~ 2017 - Masters of Business Administration - - Australian Institute of Business ~ 2019 - Masters in Business Law - - Southern Cross University |
| Anthony Dennis Lane | 2008 | 2006 - 2006LAW Introduction to Business Law - Other - Griffith University ~ 2006 - Bachelor of International Finance - - Griffith University ~ 2009 - 7106AFE Income Tax Law - Other - Griffith University ~ 2009 - Master of Commerce (Financial Planning) - Masters Degree (AQF 9) - Griffith University ~ 2011 - Certificate IV Financial Services (Finance/Mortgage Broking) - - Kaplan Professional ~ 2012 - Diploma of Financial Services (Finance/Mortgage Broking Management) - - Kaplan Professional ~ 2022 - Ethics and Professionalism in Financial Advice - Other - Kaplan |
| Benjamin Thomas Seeger | 2016 | 2008 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne ~ 2014 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA ~ 2019 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - AAMC ~ 2024 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |
| Benjamin Zamir Dascal | 2007 | 2004 - Bachelor of Business (Financial Planning) with Distinction - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2004 - JUST1016 Commercial Law - Other - Royal Melbourne Institute of Technology ~ 2007 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Tribeca ~ 2009 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2022 - Accredited listed Product Adviser Program - Other - Kaplan |
| Bernard O'connor | 1984 | 2007 - Accredited Derivatives Adviser - - Tribeca/ASX ~ 2008 - Risk Management - - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional |
| Brendan Thomas Hogan | 2016 | 1990 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Phillip Institute Coburg ~ 1997 - CA - Professional Designations - CA ANZ ~ 2015 - Accountants SMSF Package - - Kaplan ~ 2022 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan ~ 2025 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan |
| Cayle Michael Petritsch | 2018 | 2007 - ACFI3170 Taxation in Australia - Other - University of Newcastle ~ 2007 - Bachelor Of Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 2007 - LEGL1001 Foundations of law - Other - University of Newcastle ~ 2012 - Graduate Diploma of Chartered Accounting - - Chartered Accountants ~ 2013 - Chartered Accountant Program - Professional Designations - CA ANZ ~ 2014 - SMSF Specialist Advisor - - SMSF Association ~ 2015 - Diploma of Financial Planning - - Integrity Education Group ~ 2024 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |
| Christine Dale Lyon | 2012 | 1986 - Bachelor of Business (Accounting) - - Western Australia College of Advanced Education ~ 2013 - Diploma of Financial Planning - - International Institute of Technology Pty Ltd (IIT) ~ 2018 - Accreditation in Margin Lending & SMSF - Other - Integrity ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Christopher Anthony Hogan | 2006 | 2001 - Bachelor of Commerce (Accounting and Commercial Law) - Bachelor Degree (AQF 7) - The University of Sydney ~ 2001 - Corporations Law - Other - The University of Sydney ~ 2003 - Graduate Diploma - CA Program - Professional Designations - The Institute of Chartered Accountants ~ 2004 - ACCG882 Advanced Taxation - Other - Macquarie University ~ 2004 - Master of Commerce (in Professional Accounting) - Masters Degree (AQF 9) - Macquarie University ~ 2006 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2007 - Self Managed Super Funds - - FINSIA ~ 2009 - Estate Planning - Other - Topdocs ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan ~ 2015 - Accredited Listed Product Adviser Program - Other - Kaplan |
| Christopher Francis Willaton | 1997 | 1995 - Bachelor of Arts - - Monash University ~ 2004 - Master of International Business - - University of Melbourne ~ 2005 - Accredited Derivatives Adviser - - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2013 - Life Insurance & Skills - - Kaplan Professional |
| Daniel Sutton | 2018 | 2013 - Bachelor of Accounting - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2015 - CA - Professional Designations - Chartered Accountants Ausralia & New Zealand ~ 2018 - Insurance - - CPA Australia ~ 2019 - Diploma Financial Planning - - Integrity Education ~ 2020 - RG146 Specialist - SMSF & Margin Lending - Certificate (AQF 1-4) - Integrity Education Group ~ 2025 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan ~ 2025 - FPC007B Client Enagagement Skills - Bridging Course - Behavioural Finance - Kaplan |
| David Alexander Richmond | 2013 | 2006 - Bachelor Degree - Business - - Latrobe University ~ 2009 - Graduate Diploma of Chartered Accounting - Graduate Diploma (AQF 8) - Institution of Chartered Accountants ~ 2011 - Diploma - Financial Planning - - Kaplan ~ 2016 - Margin Lending - Other - Integrity Education Group |
| David Keith Graham | 2015 | 1992 - Bachelor of Financial Administration - Bachelor Degree (AQF 7) - University of New England ~ 1992 - LS351 Corporation Law - Other - University of New England ~ 1992 - LS352 Taxation Law - Other - University of New England ~ 1995 - CPA - Professional Designations - CPA Australia ~ 2001 - Master of Taxation (Qualification) - - University of New South Wales (NSW) ~ 2015 - Diploma of Financial Planning - - Integrity Education Group ~ 2015 - Margin Lending - Certificate (AQF 1-4) - Integrity Education Group ~ 2015 - Self-Managed Super Fund - Certificate (AQF 1-4) - Integrity Education Group ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Integrity Education Group ~ 2025 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |
| David Kerrison Rogers | 1990 | 2003 - Diploma of Financial Planning - - Deakin University/ Financial Planning Association ~ 2004 - SMSF Specialist - - Strategist Group ~ 2006 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2009 - ASX Accredited Listed Products Adviser (ALPA) Program - Other - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Greig Barrow | 2006 | 2006 - ASX Accredited Derivatives Adviser Level2 - - Tribeca ~ 2006 - Practitioner Member - - SDIA ~ 2012 - Diploma of Business - - Blended Learning International ~ 2014 - Responsible Executive Examination - - Stockbrokers Association of Australia ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group |
| Ivy Lew | 2018 | 2006 - Bachelor of Business (Accounting) / Bachelor of Information Systems - - Swinburne University of Technology ~ 2006 - Bachelor of Business (Accounting) / Bachelor of Information Systems - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2007 - HBC331 taxation Issues and Planning - Other - Swinburne University of Technology ~ 2007 - HBL111 Law in Global Business - Other - Swinburne University of Technology ~ 2012 - Chartered Accountant Program - Professional Designations - CA ANZ ~ 2012 - Graduate Diploma of Chartered Accounting - - CA ANZ ~ 2018 - RG 146 Superannuation / SMSF - - Integrity Education Group ~ 2020 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan ~ 2024 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan |
| Jonathan David Mattock | 2024 | 2019 - Bachelor of Business (Economics) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2019 - Bachelor of Laws (Honours) - Bachelor Honours Degree (AQF 8) - Queensland University of Technology ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2023 - SMSF Regulations and Taxation - Other - Kaplan ~ 2025 - FPC001B Economic and Legal context for Financial Planning - Other - Kaplan ~ 2025 - FPC006 Tax and Commercial Law for Financial Planning - Other - Kaplan ~ 2025 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Jonathan Stewart Henderson | 2023 | 2018 - Accredited Derivatives Adviser Level 1 - Other - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2021 - FPC001B - Economic and legal context for financial planning - Other - Kaplan ~ 2021 - FPC001B Economic and legal context for financial planning - Other - Kaplan ~ 2021 - FPC006 - Tax Law for Financial Planning - Other - Kaplan ~ 2021 - FPC006 Tax Law for Financial Planning - Other - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Kylie Thompson | 2015 | 1990 - Bachelor of Business (Accounting and Finance) - Bachelor Degree (AQF 7) - Edith Cowan University (ECU) ~ 1990 - LAW1100 Legal Framework I - Other - Edith Cowan University (ECU) ~ 1990 - LAW2400 Taxation Law II - Other - Edith Cowan University (ECU) ~ 1991 - CPA - Professional Designations - CPA Australia ~ 2011 - Accreditation in SMSF - Other - Terra Cordis ~ 2013 - Accreditation in Margin Lending - Other - Pinnacle ~ 2014 - Diploma of Financial Planning - - Pinnacle Financial Services Academy Pty Ltd ~ 2022 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan ~ 2025 - FPC007B Client Enagagement Skills - Bridging Course - Behavioural Finance - Kaplan |
| Leanne Margaret Rudd | 2013 | 1992 - 51005 Introduction to Law - Other - University of Southern Queensland ~ 1992 - 51126 Advanced Taxation Law - Other - University of Southern Queensland ~ 1992 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 1997 - CPA - Professional Designations - CPA Australia ~ 2012 - Diploma of Financial Planning - - Kaplan Professional ~ 2019 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |
| Lynda Macpherson | 2015 | 1993 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Curtin University ~ 1996 - CPA - Professional Designations - CPA Australia ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Pinnacle ~ 2022 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan ~ 2024 - FPC007B Client Enagagement Skills - Bridging Course - Behavioural Finance - Kaplan |
| Mara Denham | 2013 | 1997 - Advanced Diploma of Accounting - - TAFE NSW ~ 2004 - Graduate Certificate in Professional Accounting - - University of Southern Queensland ~ 2013 - Diploma of Financial Planning - - International Institute of Technology Pty Ltd (IIT) ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Margot Truman | 2015 | 1995 - Bachelor of Accountancy - Bachelor Degree (AQF 7) - University of South Australia ~ 2015 - CPA - Professional Designations - CPA Australia ~ 2015 - Diploma of Financial Planning - - Integrity Education Group ~ 2025 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |
| Mark Andrew Cracknell | 2008 | 2004 - BUSL250 Business Law - Other - Macquarie University ~ 2004 - Bachelor of Commerce - - Macquarie University ~ 2012 - Advanced Diploma Of Financial Services (Financial Planning) - - Kaplan ~ 2016 - CFP1+2+3+4+C - Other - FPA |
| Mark LA Bozzetta | 2003 | 2002 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) ~ 2002 - Diploma of Financial Planning (DFP 1-8) - Diploma (AQF 5) - Financial Planning Association of Australian (FPA) ~ 2015 - Financial Services Training - Diploma (AQF 5) - Terra Cordis ~ 2015 - SMSF Specialist Course - Other - SMSF Strategies & NowInfinity |
| Mark Valentine Debeljak | 2015 | 1989 - Bachelor of Economics - Bachelor Degree (AQF 7) - Monash University ~ 1992 - Chartered Accountant Program - Professional Designations - CA ANZ ~ 2015 - Accreditation in Margin Lending & SMSF - Other - Integrity ~ 2015 - Advance Diploma in Financial Planning - Advanced Diploma (AQF 6) - Integrity ~ 2015 - Diploma of Financial Planning - - Integrity Education Group ~ 2024 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |
| Mary Hart | 2005 | 1992 - Bachelor of Education - Bachelor Degree (AQF 7) - East China Normal University ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Nickolas Reissis | 2018 | 2018 - Bachelor of Business (Economics and Finance) (Applied) - - RMIT ~ 2018 - Diploma of Financial Planning - - Mentor Education ~ 2025 - FPC001B Economic and Legal Context for Financial Planning - Other - Kaplan ~ 2025 - FPC006 Taxation for Financial Planning - Other - Kaplan ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Paul Michael Tayler | 2015 | 1979 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - WA Institute of Technology ~ 2011 - Accreditation in SMSF - Other - Terra Cordis ~ 2014 - Accreditation in Margin Lending - Other - Pinnacle ~ 2014 - Diploma of Financial Planning - - Pinnacle Financial Services Academy Pty Ltd ~ 2015 - SMSF Specialist Advisor (SSA) - Professional Designations - SMSF Association ~ 2022 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan ~ 2025 - FPC007B Client Enagagement Skills - Bridging Course - Behavioural Finance - Kaplan |
| Robert Elias Makdissi | 2008 | 1997 - Bachelor of Business - - Victoria University of Technology ~ 2006 - Graduate Diploma in Applied Finance and Investment - - Kaplan Professional Education ~ 2006 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia ~ 2018 - Diploma of Financial Planning - - Integrity Education Group |
| Ryan Madden | 2015 | 2007 - Bachelor of Commerce (Accounting) - - University of Adelaide ~ 2007 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - University of Adelaide ~ 2011 - CPA - Professional Designations - CPA Australia ~ 2015 - Accreditation for Margin Lending & SMSF - Other - Integrity ~ 2015 - Diploma of Financial Planning - - Integrity Education Group ~ 2024 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan ~ 2025 - FPC003 Superannuation and Retirement Advice - Other - Kaplan |
| Sam Kernaghan | 2012 | 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2015 - SMSF Coursework - Other - Kaplan ~ 2017 - Master of Applied Finance (Financial Planning) - Masters Degree (AQF 9) - Charles Sturt University ~ 2025 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |
| Siew Ling Ngu | 2017 | 1996 - CPA - Professional Designations - CPA Australia ~ 1998 - Bachelor of Business (Accounting & Finance) - Bachelor Degree (AQF 7) - Edith Cowan University ~ 1998 - LAW2300 Company Law II - Other - Edith Cowan University ~ 2002 - 5751 Taxation (advanced) 569 - Other - Curtin University of Technology ~ 2002 - Master of Commerce Accounting - - Curtin University of Technology ~ 2015 - Diploma of Financial Planning - - CPA Australia (RTO) ~ 2024 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |
| Stephen Brown | 2015 | 1997 - Bachelor Business Information Systems - - Australian Catholic University ~ 2014 - Diploma of Financial Planning - - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - - Monarch Institute |
| Steven Ristevski | 1999 | 1996 - Bachelor of Commerce - - La Trobe University ~ 1998 - ATA3 Advanced Taxation 3 - Other - La Trobe University ~ 1998 - L1LCC Legal Studies 1 LCC - Other - La Trobe University ~ 2003 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional Education ~ 2015 - Advanced Diploma Of Financial Planning - - Integrity Education |
| Stuart Francis Coulthard | 2015 | 1999 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne University ~ 2005 - Chartered Accountant Program - Professional Designations - CA ANZ ~ 2015 - Accreditation in Margin lending & SMSF - Other - Integrity ~ 2015 - Diploma of Financial Planning - - Integrity Education Group ~ 2017 - Advance Diploma in Financial Planning - Advanced Diploma (AQF 6) - Integrity ~ 2024 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |
| Tino DI Battista | 2002 | 1983 - Bachelor of Business - Accounting - - Phillip Institute of Technology ~ 2006 - SMSF Specialist Advisor - - SMSF Association ~ 2018 - Diploma of Financial Planning - - IIT - International Institute of Technology |
| Veronica Maxine D'silva | 2018 | 2002 - Bachelor of Business Systems - Bachelor Degree (AQF 7) - Monash University ~ 2005 - CPA - Professional Designations - CPA Australia ~ 2006 - Public Practice Certificate - - CPA Australia ~ 2018 - Diploma of Financial Planning - - CPA Australia ~ 2025 - 2025 FPC007B Client Enagagement Skills - Bridging Course - Behavioural Finance - Kaplan ~ 2025 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |
| Vicki Frances Adams | 2000 | 1986 - Certificate of Business Studies - - Box Hill College ~ 1991 - Bachelor of Business (Multidiscipline) - - Monash University ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2013 - Chartered Accountant - Financial Planning Specialist - - Chartered Accountants Australia New Zealand ~ 2013 - Self Managed Superannuation Funds - - University of New South Wales |
| William Chin | 2014 | 2005 - Bachelor of Commerce (Accounting & Finance) - Bachelor Degree (AQF 7) - Murdoch University ~ 2009 - CPA - Professional Designations - CPA Australia ~ 2014 - Accreditation in Margin Lending & SMSF - Other - Pinnacle ~ 2014 - Advance Diploma in Financial Planning - Advanced Diploma (AQF 6) - Pinnacle ~ 2014 - Diploma of Financial Planning - - Pinnacle Financial Services Academy Pty Ltd ~ 2022 - FPC002B Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan ~ 2025 - FPC007B Client Enagagement Skills - Bridging Course - Behavioural Finance - Kaplan |