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 | Bachelor of Commerce (Majoring in Finance) - Deakin University ~ Bachelor of Laws - Deakin University ~ Margin Lending Specialist - Kaplan ~ Master of Financial Planning - Deakin University ~ SMSF Regulations and Taxation - Kaplan |
| Adrian Pelligra | 2013 | Accredited Margin Lending - Kaplan ~ Accredited SMSF - Kaplan ~ Bachelor of Finance (Major in Financial Planning) - LaTrobe University ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Alexandra Leigh Colley | 2016 | Accreditation in Margin Lending & SMSF - Pinnacle ~ Bachelor of Business - University of Technology Sydney (UTS) ~ Diploma of Financial Planning - Pinnacle |
| Anthony Christopher Kapetanovic | 1996 | Associate Diploma of Business (Banking & Finance) - Box Hill TAFE ~ Diploma of Financial Planning CFP - Deakin University ~ Masters in Business Law - Southern Cross University ~ Masters of Business Administration - Australian Institute of Business |
| Anthony Dennis Lane | 2008 | Bachelor of International Finance - Griffith University ~ Certificate IV Financial Services (Finance/Mortgage Broking) - Kaplan Professional ~ Diploma of Financial Services (Finance/Mortgage Broking Management) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Commerce (Financial Planning) - Griffith University |
| Benjamin Thomas Seeger | 2016 | Bachelor of Business - Swimburne ~ Diploma of Finance and Mortgage Broking Management - AAMC ~ Diploma of Financial Planning - CPA |
| Benjamin Zamir Dascal | 2007 | Accredited listed Product Adviser Program - Kaplan ~ Bachelor of Business (Financial Planning) with Distinction - Royal Melbourne Institute of Technology ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Tribeca |
| Bernard O'connor | 1984 | Accredited Derivatives Adviser - Tribeca/ASX ~ Margin Lending & Geared Investments - Kaplan Professional ~ Risk Management - Kaplan Professional |
| Brendan Thomas Hogan | 2016 | Accountants SMSF Package - Kaplan ~ Bachelor of Business (Accounting) - Phillip Institute Coburg |
| Brett Andrew Cummings | 2002 | Accreditation in Margin Lending & SMSF - Integrity ~ Diploma of Financial Planning (Qualification) - Integrity Education Group |
| Cayle Michael Petritsch | 2018 | Bachelor Of Commerce - University Of Newcastle ~ Diploma of Financial Planning - Integrity Education Group ~ Graduate Diploma of Chartered Accounting - Chartered Accountants ~ SMSF Specialist Advisor - SMSF Association |
| Christine Dale Lyon | 2012 | Accreditation in Margin Lending & SMSF - Integrity ~ Bachelor of Business (Accounting) - Western Australia College of Advanced Education ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) |
| Christopher Francis Willaton | 1997 | Accredited Derivatives Adviser - Kaplan Professional ~ Bachelor of Arts - Monash University ~ Life Insurance & Skills - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ Master of International Business - University of Melbourne |
| Claire Elizabeth Turton | 2004 | Accredited Derivatives Adviser Level 2 - RBS Morgans Limited via Kaplan Professional ~ Diploma of Financial Services - FINSIA ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Daniel Sutton | 2018 | Bachelor of Accounting - Charles Sturt University ~ CA - Chartered Accountants Ausralia & New Zealand ~ Diploma Financial Planning - Integrity Education ~ Insurance - CPA Australia ~ RG146 Specialist - SMSF & Margin Lending - Integrity Education Group |
| David Alan Howell | 2004 | Bachelor of Business (Economics & Finance) - RMIT ~ Cavendish & ICFS Specialist SMSF Course - Cavendish ~ Graduate Diploma in Applied Finance and Investment - Securities Institute ~ Graduate Diploma of Financial Planning - Securities Institute ~ Margin Lending and Geared Investments - Kaplan Professional |
| David Alexander Richmond | 2013 | Bachelor Degree - Business - Latrobe University ~ Diploma - Financial Planning - Kaplan ~ Graduate Diploma of Chartered Accounting - Institution of Chartered Accountants ~ Margin Lending - Integrity Education Group |
| David Keith Graham | 2015 | Advanced Diploma of Financial Planning (Qualification) - Integrity Education Group ~ Bachelor of Financial Administration (Qualification) - University of New England ~ Diploma of Financial Planning - Integrity Education Group ~ Master of Taxation (Qualification) - University of New South Wales (NSW) |
| David Kerrison Rogers | 1990 | ASX Accredited Listed Products Adviser (ALPA) Program - Kaplan ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University/ Financial Planning Association ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ SMSF Specialist - Strategist Group |
| Diane Terzian | 2016 | Accreditation in Margin Lending & SMSF - Integrity ~ Bachelor of Business - University of Technology Sydney (UTS) ~ Diploma of Financial Planning - Integrity Education Group |
| Duncan Logie | 2011 | Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Bachelor of Commerce - University of Tasmania ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Self Managed Superannuation Funds - Kaplan Professional |
| Frederick Leslie Patten | 2015 | Bachelor of Business (Qualification) - University of Southern Queensland (USQ) ~ CPA Program Professional level - CPA Australia ~ Diploma of Financial Planning - Integrity Education Group ~ Public Practice - CPA Australia |
| Greig Barrow | 2006 | ASX Accredited Derivatives Adviser Level2 - Tribeca ~ Diploma of Business - Blended Learning International ~ Diploma of Financial Planning - Integrity Education Group ~ Practitioner Member - SDIA ~ Responsible Executive Examination - Stockbrokers Association of Australia |
| Ivy Lew | 2018 | Bachelor of Business (Accounting) / Bachelor of Information Systems - Swinburne University of Technology ~ Graduate Diploma of Chartered Accounting - CA ANZ ~ RG 146 Superannuation / SMSF - Integrity Education Group |
| Jonathan David Mattock | 2024 | Bachelor of Business (Economics) - Queensland University of Technology ~ Bachelor of Laws (Honours) - Queensland University of Technology ~ Graduate Diploma of Financial Planning - Kaplan ~ SMSF Regulations and Taxation - Kaplan |
| Jonathan Stewart Henderson | 2023 | Accredited Derivatives Adviser Level 1 - Kaplan ~ Advanced Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Planning - Monarch Institute ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Joseph Ghantous Akiki | 2017 | Advance Diploma of Financial Planning - Mentor Education ~ Bachelor of Monash Business & Commerce - Monash University ~ Certificate 3 in Financial Services - Commonwealth Bank ~ Certificate 4 Financial Services - Commonwealth Bank ~ Diploma of Financial Planning - Kaplan |
| Joshua Anthony Scipione | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Economics, Finance & Financial Planning) - Deakin University ~ Diploma of Financial Planning - Kaplan Professional |
| Jue Betty Wang | 2012 | Accredited Derivatives Adviser - Kaplan Professional ~ Bach Of Commerce - University of Adelaide ~ Diploma of Financial Planning - Pinnacle ~ Master of Financial Management - University of Melbourne |
| Kylie Thompson | 2015 | Accreditation in Margin Lending - Pinnacle ~ Accreditation in SMSF - Terra Cordis ~ Bachelor of Business (Accounting and Finance) - Edith Cowan University (ECU) ~ Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd |
| Leanne Margaret Rudd | 2013 | Bachelor of Business - University of Southern Queensland ~ Certified Practising Accountant - CPA Australia ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Luke Benjamin Broxton | 2006 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ SMSF Specialist - Kaplan Professional |
| Lynda Macpherson | 2015 | Bachelor of Business (Accounting) - Curtin University ~ Diploma of Financial Planning - Pinnacle |
| Mara Denham | 2013 | Advanced Diploma of Accounting - TAFE NSW ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ Graduate Certificate in Professional Accounting - University of Southern Queensland |
| Margot Truman | 2015 | Diploma of Financial Planning - Integrity Education Group |
| Mark Andrew Cracknell | 2008 | Advanced Diploma Of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Commerce - Macquarie University |
| Mark LA Bozzetta | 2003 | Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association of Australian (FPA) ~ Financial Services Training - Terra Cordis ~ SMSF Specialist Course - SMSF Strategies & NowInfinity |
| Mark Valentine Debeljak | 2015 | Accreditation in Margin Lending & SMSF - Integrity ~ Advance Diploma in Financial Planning - Integrity ~ Bachelor of Economics - Monash University ~ Diploma of Financial Planning - Integrity Education Group |
| Mary Hart | 2005 | Bachelor of Education - East China Normal University ~ Graduate Diploma of Financial Planning - Securities Institute of Australia ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Melissa Ann Campbell | 2002 | Accreditation in Margin Lending & SMSF - Integrity ~ Diploma of Financial Planning (Qualification) - Integrity Education Group ~ Financial Management - Charles Sturt University |
| Nickolas Reissis | 2018 | Bachelor of Business (Economics and Finance) (Applied) - RMIT ~ Diploma of Financial Planning - Mentor Education |
| Nigel Judd | 2007 | Bachelor of Arts - University of Melbourne ~ Bachelor of Commerce - University of Melbourne ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Pablo Vilela | 2013 | Advanced Diploma of Financial Planning - Integrity Education Group ~ Diploma of Financial Planning - Integrity Education Group ~ Diploma of Life Insurance - Integrity Education Group ~ Practice of Margin Lending - Integrity Education Group |
| Paul Michael Tayler | 2015 | Accreditation in Margin Lending - Pinnacle ~ Accreditation in SMSF - Terra Cordis ~ Bachelor of Business (Accounting) - WA Institute of Technology ~ Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd ~ SMSF Specialist Advisor (SSA) - SMSF Association |
| Peter Daniel White | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Economics and Finance) - RMIT University |
| Robert Elias Makdissi | 2008 | Bachelor of Business - Victoria University of Technology ~ Diploma of Financial Planning - Integrity Education Group ~ Graduate Diploma in Applied Finance and Investment - Kaplan Professional Education ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association |
| Robert Sawyer Petrie | 1996 | Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University |
| Ryan Madden | 2015 | Accreditation for Margin Lending & SMSF - Integrity ~ Bachelor of Commerce (Accounting) - University of Adelaide ~ Diploma of Financial Planning - Integrity Education Group |
| Sam Kernaghan | 2012 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Commercial Law - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Master of Applied Finance (Financial Planning) - Charles Sturt University ~ SMSF Coursework - Kaplan |
| Shaun Robert Albert | 2016 | Advanced Diploma of Financial Planning - Investment Banking Institute ~ Diploma of Financial Planning - Investment Banking Institute ~ Graduate Diploma of Financial Planning - Kaplan |
| Siew Ling Ngu | 2017 | Bachelor of Business - Edith Cowan University ~ CPA Program - CPA Australia ~ Diploma of Financial Planning - CPA Australia (RTO) ~ Master of Commerce Accounting - Curtin University of Technology |
| Stephen Brown | 2015 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor Business Information Systems - Australian Catholic University ~ Diploma of Financial Planning - Kaplan |
| Steven Ristevski | 1999 | Advanced Diploma Of Financial Planning - Integrity Education ~ Bachelor of Commerce - La Trobe University ~ Diploma of Financial Advising - Securities Institute of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional Education |
| Stuart Francis Coulthard | 2015 | Accreditation in Margin lending & SMSF - Integrity ~ Advance Diploma in Financial Planning - Integrity ~ Bachelor of Business - Swinburne University ~ Diploma of Financial Planning - Integrity Education Group |
| Terrence Patrick Brauer | 2015 | Bachelor of Business - University College of Southern Queensland ~ CA SMSF Specilist Accreditation - University of New South Wales ~ Diploma of Financial Planning - Integrity Education Group |
| Tino DI Battista | 2002 | Bachelor of Business - Accounting - Phillip Institute of Technology ~ Diploma of Financial Planning - IIT - International Institute of Technology ~ SMSF Specialist Advisor - SMSF Association |
| Veronica Maxine D'silva | 2018 | Bachelor of Business Systems - Monash University ~ CPA - CPA Australia ~ Diploma of Financial Planning - CPA Australia ~ Public Practice Certificate - CPA Australia |
| Vicki Frances Adams | 2000 | Bachelor of Business (Multidiscipline) - Monash University ~ Certificate of Business Studies - Box Hill College ~ Chartered Accountant - Financial Planning Specialist - Chartered Accountants Australia New Zealand ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - University of New South Wales |
| William Chin | 2014 | Accreditation in Margin Lending & SMSF - Pinnacle ~ Advance Diploma in Financial Planning - Pinnacle ~ Bachelor of Commerce (Accounting & Finance) - Murdoch University ~ Chartered Accountant - CPA ~ Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd |