This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit 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);
securities;
standard margin lending facility; and
superannuation; and
provide financial product advice to wholesale clients for the following classes of financial products:
derivatives limited to warrants; and
deal in a financial product by:
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients in respect of the following classes of products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit 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);
securities;
standard margin lending facility; and
superannuation;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients in respect of the following classes of products:
derivatives limited to warrants.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Akhil Yoshith | 2024 | 2015 - Masters of Professional Accounting - Masters Degree (AQF 9) - Charles Sturt University ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Alex Chan | 2007 | 2007 - Bachelor of Commerce/Arts - - Deakin University ~ 2012 - Diploma of Financial Planning - - Kaplan Professional ~ 2012 - Margin Lending - - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan |
| Andrew Keov | 2016 | 2007 - Bachelor of Commerce - - La Trobe University ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2015 - Securities and Managed Investments - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| David Wong | 2005 | 2005 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Dhanushka Prabhath Henadeerage Don | 2013 | 2009 - Bachelor of Accounting - - Central Queensland Universty ~ 2012 - Foundations of Financial Planning - - KAPLAN ~ 2012 - Insurance and Risk Protection - - Kaplan ~ 2013 - Diploma of Financial Planning - - KAPLAN ~ 2013 - Superannuation - - KAPLAN |
| GE Sang | 2014 | 2009 - Master of Professional Accounting/Commerce - Masters Degree (AQF 9) - Deakin University ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2013 - Margin Lending - - Kaplan ~ 2016 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jasmine Tracey Kramer | 2014 | 2011 - Margin Lending & Geared Investments - Other - Kaplan Professional ~ 2012 - Bachelor of Commerce (Banking, Finance and Financial Planning) - - Griffith University ~ 2020 - Self Managed Superannuation Fund Adviser - Other - Mentor Education |
| Jason YU | 2014 | 2012 - Bachelor of Information Technology and Systems - - Monash University ~ 2013 - Diploma of financial planning - - Monarch Institute ~ 2017 - Diploma of Finance and Mortgage Broking - - Kaplan |
| John Francis Schofield | 1991 | 1979 - Bachelor of Arts - Bachelor Degree (AQF 7) - The Polytechnic of North London ~ 1984 - Bachelor of Business - Bachelor Degree (AQF 7) - Footscray Institute of Technology ~ 1997 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 1997 - Certified Practising Accountant - Professional Designations - Australian Society of Certified Practicing Accountants ~ 2000 - Industry Standard Education - RG146 specialist knowledge - - Financial Planning Association of Australia (FPA) |
| Khai Tuan Phan | 2003 | 2005 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of New South Wales ~ 2005 - Bachelor of Laws - Bachelor Degree (AQF 7) - University of New South Wales ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional |
| Lawrence Chan | 2008 | 2008 - Diploma of Financial Planning FNS50804 - - Mentor Education group ~ 2009 - Advanced Diploma of Financial Planning - - Mentor Education group ~ 2010 - Graduate Certificate of Financial Planning - - Kaplan ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2013 - Graduate Diploma of Financial Planning - - Kaplan |
| Maurizio Pietro LA Spina | 2012 | 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Michael Peel | 2000 | 1995 - Bachelor of Economics - - University of Queensland ~ 1999 - Post Grad Diploma Applied Finance & Investment - - SIA ~ 2002 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2002 - Post Grad Diploma Financial Planning - - SIA ~ 2015 - Self Managed Super Funds Accreditation - Other - Mentor Education |
| Mike Liu | 2006 | 2006 - Advanced Diploma of Financial Service (Financial Planning) - - Tribeca ~ 2006 - Diploma of Financial Service - - Tribeca ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2011 - Certified Financial Planner - - Financial Planning Association ~ 2011 - Self Managed Superannuation Funds - - Kaplan Professional |
| Peter Glenn Warren | 2003 | 1987 - Bachelor of Business - - RMIT ~ 1992 - Diploma of Financial Planning - - Deakin ~ 1994 - Certified Financial Planner - - FPA |
| Philip Kim Chuan Yap | 2005 | 2004 - Bachelor of Commerce (Financial Planning) - - Curtin University of Technology ~ 2004 - Self Managed Superannuation Funds - - Tribeca ~ 2009 - Certified Financial Planner - - FPA ~ 2010 - Margin lending and Geared Investments - - Kaplan |
| Prasanna Iyer | 2018 | 2016 - Diploma of Financial Planning - - Integrity Education Group |
| Rodney Walker | 1994 | 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2014 - Graduate Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Accredited Listed Product Adviser Program (ALPA) - - Kaplan Professional ~ 2017 - Master of Financial Planning - - Kaplan Professional |
| Sabena Samuel | 2015 | 1995 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Madras ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Mentor Education Pty Ltd ~ 2019 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia (FAAA) |
| Scott Martin | 2010 | 2010 - Diploma of Financial Services (Financial Planning) - - ThreeSixty ~ 2013 - Advanced Diploma of Financial Planning - - Pinnacle Financial Services Academy Pty Ltd |
| Shannon Hew | 2013 | 2014 - Bachelor of Business (Financial Risk Management) - Bachelor Degree (AQF 7) - Victoria University |
| Shaowei Fang | 2015 | 2003 - Masters of Law - Masters Degree (AQF 9) - Monash University ~ 2014 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan ~ 2018 - Tier One Margin Lending - Personal Advice - Diploma (AQF 5) - Kaplan ~ 2019 - FASEA - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Siew Wong Chan | 2003 | 2002 - Master of Business (Banking & Finance) - - Monash University ~ 2014 - Certificate IV in Finance & Mortgage Broking - - International Institute of Technology ~ 2017 - Diploma of Financial Planning - - AAMC Training Group |
| Spencer Madhanayake | 2014 | 2009 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - The National Finance Institute ~ 2014 - Diploma of Financial Planning - - Mentor Education / RG146 ~ 2015 - Advanced Diploma of Financial Planning - - Mentor Education |
| Stephen Charles Grant | 2009 | 2004 - Diploma of Financial Services (Financial Planning) - - Integratec ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca Learning (Aust) Pty Ltd ~ 2006 - Bachelor of Business (Accounting) - - Chrales Sturt University ~ 2009 - Self Managed Superannuation Funds - - Kaplan ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Teck Hiang Andy Low | 2004 | 2000 - Bachelor of Business - - Monash University ~ 2007 - Advance Diploma of Financial Planning - - Kaplan ~ 2013 - SMSF - - Kaplan |
| Tristan Scifo | 2013 | 2010 - Bachelor of Applied Finance - - Macquarie University ~ 2013 - Diploma of Financial Planning - - Integrity Education Group ~ 2016 - Advanced Diploma of Financial Planning - - Pinnacle Financial Services Academy Pty Ltd |