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 | Graduate Diploma of Financial Planning - Kaplan Professional ~ Masters of Professional Accounting - Charles Sturt University |
| Alex Chan | 2007 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce/Arts - Deakin University ~ Diploma of Financial Planning - Kaplan Professional ~ Margin Lending - Kaplan Professional |
| Andrew Keov | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce - La Trobe University ~ Diploma of Financial Planning - Kaplan Professional ~ Securities and Managed Investments - Kaplan Professional |
| David Wong | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Dhanushka Prabhath Henadeerage Don | 2013 | Bachelor of Accounting - Central Queensland Universty ~ Diploma of Financial Planning - KAPLAN ~ Foundations of Financial Planning - KAPLAN ~ Insurance and Risk Protection - Kaplan ~ Superannuation - KAPLAN |
| GE Sang | 2014 | Advanced Diploma of Financial Planning - Kaplan ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Margin Lending - Kaplan ~ Master of Professional Accounting/Commerce - Deakin University |
| Jason YU | 2014 | Bachelor of Information Technology and Systems - Monash University ~ Diploma of Finance and Mortgage Broking - Kaplan ~ Diploma of financial planning - Monarch Institute |
| John Francis Schofield | 1991 | Bachelor of Arts - The Polytechnic of North London ~ Bachelor of Business - Footscray Institute of Technology ~ Certified Financial Planner - Financial Planning Association of Australia ~ Certified Practising Accountant - Australian Society of Certified Practicing Accountants ~ Industry Standard Education - RG146 specialist knowledge - Financial Planning Association of Australia (FPA) |
| Khai Tuan Phan | 2003 | Bachelor of Commerce - University of New South Wales ~ Bachelor of Laws - University of New South Wales ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan Professional |
| Lawrence Chan | 2008 | Advanced Diploma of Financial Planning - Mentor Education group ~ Diploma of Financial Planning FNS50804 - Mentor Education group ~ Graduate Certificate of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Michael Peel | 2000 | Bachelor of Economics - University of Queensland ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Post Grad Diploma Applied Finance & Investment - SIA ~ Post Grad Diploma Financial Planning - SIA ~ Self Managed Super Funds Accreditation - Mentor Education |
| Mike Liu | 2006 | Advanced Diploma of Financial Service (Financial Planning) - Tribeca ~ Advanced Diploma of Financial Service (Financial Planning) - Tribeca ~ Certified Financial Planner - Financial Planning Association ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Service - Tribeca ~ Diploma of Financial Service - Tribeca ~ Margin Lending and Geared Investments - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Peter Glenn Warren | 2003 | Bachelor of Business - RMIT ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Deakin |
| Philip Kim Chuan Yap | 2005 | Bachelor of Commerce (Financial Planning) - Curtin University of Technology ~ Certified Financial Planner - FPA ~ Margin lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Tribeca |
| Prasanna Iyer | 2018 | Diploma of Financial Planning - Integrity Education Group |
| Rodney Walker | 1994 | Accredited Listed Product Adviser Program (ALPA) - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Sabena Samuel | 2015 | Advanced Diploma of Financial Planning - Mentor Education Pty Ltd ~ Bachelor of Commerce - University of Madras ~ Certified Financial Planner - Financial Advice Association of Australia (FAAA) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Scott Martin | 2010 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd ~ Diploma of Financial Services (Financial Planning) - ThreeSixty |
| Shannon Hew | 2013 | Bachelor of Business (Financial Risk Management) - Victoria University |
| Shaowei Fang | 2015 | FASEA - Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Masters of Law - Monash University ~ Self Managed Superannuation Funds - Kaplan ~ Tier One Margin Lending - Personal Advice - Kaplan |
| Siew Wong Chan | 2003 | Certificate IV in Finance & Mortgage Broking - International Institute of Technology ~ Diploma of Financial Planning - AAMC Training Group ~ Master of Business (Banking & Finance) - Monash University |
| Spencer Madhanayake | 2014 | Advanced Diploma of Financial Planning - Mentor Education ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - The National Finance Institute ~ Diploma of Financial Planning - Mentor Education / RG146 |
| Stephen Charles Grant | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca Learning (Aust) Pty Ltd ~ Bachelor of Business (Accounting) - Chrales Sturt University ~ Diploma of Financial Services (Financial Planning) - Integratec ~ Margin Lending and Geared Investments - Kaplan Education Pty Ltd ~ Self Managed Superannuation Funds - Kaplan |
| Teck Hiang Andy Low | 2004 | Advance Diploma of Financial Planning - Kaplan ~ Bachelor of Business - Monash University ~ SMSF - Kaplan |
| Tristan Scifo | 2013 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd ~ Bachelor of Applied Finance - Macquarie University ~ Diploma of Financial Planning - Integrity Education Group |
| Vishnu Sankar | 2008 | Bachelor of Business (Financial Planning) - RMIT |