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 |
|---|---|---|
| Aaron James Walshe | 2022 | 2020 - Bachelor of Commerce (Majoring in Finance) - Bachelor Degree (AQF 7) - Deakin University ~ 2020 - Bachelor of Laws - Bachelor Degree (AQF 7) - Deakin University ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University ~ 2022 - SMSF Regulations and Taxation - Other - Kaplan ~ 2023 - Margin Lending Specialist - Other - Kaplan |
| Adrian Pelligra | 2013 | 2010 - Bachelor of Finance (Major in Financial Planning) - - LaTrobe University ~ 2014 - Accredited Margin Lending - - Kaplan ~ 2014 - Accredited SMSF - Other - Kaplan ~ 2017 - Certified Financial Planner - - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Alexandra Leigh Colley | 2016 | 2005 - Bachelor of Business - - University of Technology Sydney (UTS) ~ 2015 - Accreditation in Margin Lending & SMSF - Other - Pinnacle ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Pinnacle |
| 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 - Bachelor of International Finance - - Griffith University ~ 2009 - Master of Commerce (Financial Planning) - - 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 - - Swimburne ~ 2016 - Diploma of Financial Planning - - CPA ~ 2019 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - AAMC |
| Benjamin Zamir Dascal | 2007 | 2004 - Bachelor of Business (Financial Planning) with Distinction - Bachelor Degree (AQF 7) - 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 ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 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) - - Phillip Institute Coburg ~ 2015 - Accountants SMSF Package - - Kaplan |
| Brett Andrew Cummings | 2002 | 2016 - Accreditation in Margin Lending & SMSF - Other - Integrity ~ 2016 - Diploma of Financial Planning (Qualification) - - Integrity Education Group |
| Cayle Michael Petritsch | 2018 | 2007 - Bachelor Of Commerce - - University Of Newcastle ~ 2012 - Graduate Diploma of Chartered Accounting - - Chartered Accountants ~ 2014 - SMSF Specialist Advisor - - SMSF Association ~ 2015 - Diploma of Financial Planning - - Integrity Education Group |
| 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 |
| 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 |
| Claire Elizabeth Turton | 2004 | 2004 - Accredited Derivatives Adviser Level 2 - Other - RBS Morgans Limited via Kaplan Professional ~ 2006 - Diploma of Financial Services - Diploma (AQF 5) - FINSIA ~ 2017 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Daniel Sutton | 2018 | 2013 - Bachelor of Accounting - - Charles Sturt University ~ 2015 - CA - - 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 |
| David Alan Howell | 2004 | 1994 - Bachelor of Business (Economics & Finance) - Bachelor Degree (AQF 7) - RMIT ~ 1999 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2005 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2011 - Margin Lending and Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Cavendish & ICFS Specialist SMSF Course - Other - Cavendish |
| 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 (Qualification) - - University of New England ~ 2001 - Master of Taxation (Qualification) - - University of New South Wales (NSW) ~ 2015 - Diploma of Financial Planning - - Integrity Education Group ~ 2016 - Advanced Diploma of Financial Planning (Qualification) - - Integrity Education Group |
| 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 |
| Diane Terzian | 2016 | 1992 - Bachelor of Business - - University of Technology Sydney (UTS) ~ 2015 - Accreditation in Margin Lending & SMSF - Other - Integrity ~ 2015 - Diploma of Financial Planning - - Integrity Education Group |
| Duncan Logie | 2011 | 2002 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Tasmania ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2012 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Certified Financial Planner - Professional Designations - Financial Planning Association |
| 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 ~ 2012 - Graduate Diploma of Chartered Accounting - - CA ANZ ~ 2018 - RG 146 Superannuation / SMSF - - Integrity Education Group |
| 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 |
| 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 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Joseph Ghantous Akiki | 2017 | 2004 - Bachelor of Monash Business & Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2010 - Certificate 3 in Financial Services - - Commonwealth Bank ~ 2011 - Certificate 4 Financial Services - - Commonwealth Bank ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2018 - Advance Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education |
| Joshua Anthony Scipione | 2014 | 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2014 - Bachelor of Commerce (Economics, Finance & Financial Planning) - - Deakin University ~ 2014 - Diploma of Financial Planning - - Kaplan Professional |
| Jue Betty Wang | 2012 | 2005 - Bach Of Commerce - - University of Adelaide ~ 2007 - Diploma of Financial Planning - - Pinnacle ~ 2008 - Master of Financial Management - - University of Melbourne ~ 2011 - Accredited Derivatives Adviser - Other - Kaplan Professional |
| Kylie Thompson | 2015 | 1991 - Bachelor of Business (Accounting and Finance) - - Edith Cowan University (ECU) ~ 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 |
| Leanne Margaret Rudd | 2013 | 1992 - Bachelor of Business - - University of Southern Queensland ~ 1995 - Certified Practising Accountant - Professional Designations - CPA Australia ~ 2012 - Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Luke Benjamin Broxton | 2006 | 2008 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2011 - SMSF Specialist - - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Lynda Macpherson | 2015 | 1993 - Bachelor of Business (Accounting) - - Curtin University ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Pinnacle |
| 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) |
| Margot Truman | 2015 | 2015 - Diploma of Financial Planning - - Integrity Education Group |
| Mark Andrew Cracknell | 2008 | 2004 - Bachelor of Commerce - - Macquarie University ~ 2012 - Advanced Diploma Of Financial Services (Financial Planning) - - Kaplan |
| 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 - - Monash University ~ 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 |
| 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 |
| Melissa Ann Campbell | 2002 | 1997 - Financial Management - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2016 - Accreditation in Margin Lending & SMSF - Other - Integrity ~ 2016 - Diploma of Financial Planning (Qualification) - - Integrity Education Group |
| Nickolas Reissis | 2018 | 2018 - Bachelor of Business (Economics and Finance) (Applied) - - RMIT ~ 2018 - Diploma of Financial Planning - - Mentor Education |
| Nigel Judd | 2007 | 2000 - Bachelor of Arts - - University of Melbourne ~ 2000 - Bachelor of Commerce - - University of Melbourne ~ 2012 - Certified Financial Planner - - FPA ~ 2012 - Graduate Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Pablo Vilela | 2013 | 2012 - Diploma of Financial Planning - - Integrity Education Group ~ 2013 - Advanced Diploma of Financial Planning - - Integrity Education Group ~ 2013 - Diploma of Life Insurance - - Integrity Education Group ~ 2015 - Practice of Margin Lending - - Integrity Education Group |
| Paul Michael Tayler | 2015 | 1979 - Bachelor of Business (Accounting) - - 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) - - SMSF Association |
| Peter Daniel White | 2013 | 2008 - Bachelor of Business (Economics and Finance) - - RMIT University ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| 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 |
| Robert Sawyer Petrie | 1996 | 2001 - Diploma of Financial Planning - - Deakin University ~ 2002 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia |
| Ryan Madden | 2015 | 2007 - Bachelor of Commerce (Accounting) - - University of Adelaide ~ 2015 - Accreditation for Margin Lending & SMSF - Other - Integrity ~ 2015 - Diploma of Financial Planning - - Integrity Education Group |
| 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 ~ 2020 - Commercial Law - Bridging Course - Regulation & Legal Obligations - Kaplan |
| Shaun Robert Albert | 2016 | 2013 - Diploma of Financial Planning - - Investment Banking Institute ~ 2014 - Advanced Diploma of Financial Planning - - Investment Banking Institute ~ 2017 - Graduate Diploma of Financial Planning - - Kaplan |
| Siew Ling Ngu | 2017 | 1997 - Bachelor of Business - - Edith Cowan University ~ 2001 - CPA Program - - CPA Australia ~ 2002 - Master of Commerce Accounting - - Curtin University of Technology ~ 2015 - Diploma of Financial Planning - - CPA Australia (RTO) |
| 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 ~ 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 ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Stuart Francis Coulthard | 2015 | 1999 - Bachelor of Business - - Swinburne University ~ 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 |
| 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 - - Monash University ~ 2005 - CPA - - CPA Australia ~ 2006 - Public Practice Certificate - - CPA Australia ~ 2018 - Diploma of Financial Planning - - CPA Australia |
| 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) - - Murdoch University ~ 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 ~ 2017 - Chartered Accountant - - CPA |