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;
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;
interests in managed investment schemes limited to:
MDA 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:
interests in managed investment schemes limited to:
MDA services; 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;
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Adam William Spilsted | 2009 | 2009 - Diploma of Financial Services (Financial Planning) - - ThreeSixty Education & Training ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan |
| Andrew Thomas Dunbar | 2005 | 2004 - Bachelor of Commerce - - Monash University ~ 2004 - Bachelor of Economics - - Monash University ~ 2007 - Self Managed Superannuation Funds - - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2014 - Certified Financial Planner CFP - - Financial Planning Association of Australia |
| Anthony Tat Tung Lee | 2023 | 2016 - Bachelor of Business - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology (RMIT) ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Brett Raymond Rowe | 2009 | 1994 - Bachelor of Business - - La Trobe University ~ 2002 - Diploma of Financial Planning - - Deakin University ~ 2008 - CFP Certification Program - - FPA |
| Daniel John-nicholas Kalisperis | 2023 | 2016 - Bachelor of Business - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology (RMIT) ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| David Maddock | 2006 | 2003 - Bachelor of Commerce - - Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - ASX Accredited Listed Products Adviser - - Kaplan ~ 2013 - SMSF Strategies - - Terra Cordis ~ 2016 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia |
| Dermot Edward Reiter | 2015 | 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2019 - Graduate Diploma of Business - Graduate Diploma (AQF 8) - Monash University |
| Elizabeth Amy Wise | 2023 | 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Australian Catholic University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Emily Chiara Lanciana | 2014 | 2012 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2013 - Certificate IV in Finance & Mortgage Broking - - Australis College (formerly Intellitrain) ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2018 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Frank D'alesio | 2011 | 2008 - Certificate 4 Financial Services - - Futurum ~ 2013 - Bachelor of Business (Financial Planning) - - RMIT ~ 2019 - Certified Financial Planner - - Financial Planning Association |
| Jakob Anthony Ayres | 2023 | 2021 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University |
| James Mcgregor | 1991 | 1988 - Bachelor of Arts (Economics) - - University of New England ~ 1990 - Graduate Diploma in Applied Finance and Investment - - Financial Services Institute of Australasia ~ 1993 - Diploma of Financial Planning - - Deakin University ~ 1994 - Certified Financial Planner CFP - - Financial Planning Association of Australia ~ 2005 - Self Managed Superannuation Funds - - Tribecca Learning(Aust) |
| Jessica Santiago | 2024 | 2015 - Bachelor of Business (Economics & Finance) - Bachelor Degree (AQF 7) - The Royal Melbourne Institute of Technology (RMIT) ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - The Royal Melbourne Institute of Technology (RMIT) ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| John Mclaughlin | 2005 | 1992 - Bachelor of Business (Personnel & Industrial Relations) - Bachelor Degree (AQF 7) - Philip Institute of Technology ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2012 - Diploma Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| John Steven Versace | 2014 | 2006 - Bachelor of Business - Bachelor Degree (AQF 7) - RMIT University ~ 2008 - Graduate Diploma of Financial Services (Insurance) - - Deakin University ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2016 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Lisa Haley | 2004 | 2000 - Graduate Certificate in Accounting - - Swinburne University of Technology ~ 2004 - Diploma of Financial Planning - - Deakin University ~ 2006 - Certified Financial Planner - - Financial Planning Association ~ 2007 - Self Managed Super Fund Accreditation - - Financial Essentials ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional |
| Lisa-anne Han | 2012 | 1994 - Associate Diploma of Business (Acct) - Advanced Diploma (AQF 6) - Swinburne University of Technology ~ 1999 - Bachelor of Business (Banking and Finance) - - Victoria University of Technology ~ 2006 - Master of Financial Planning - Masters Degree (AQF 9) - RMIT University ~ 2016 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Mark Richard Bardzinski | 1998 | 2003 - Diploma of Financial Advising - - Financial Services Institute of Australasia ~ 2007 - ASX Responsible Executive Exam - - Kaplan ~ 2014 - Certificate in Self-Managed Superannuation Funds - - Kaplan ~ 2016 - Fellow Chartered Financial Practitioner - - Association of Financial Advisers |
| Matthew James Dunbar | 2014 | 2013 - Bachelor of Commerce (Financial Planning, Accounting and Finance) - Bachelor Degree (AQF 7) - Deakin University ~ 2014 - Margin Lending - - Pinnacle Financial Services Academy ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Michael Brandt | 2009 | 2005 - Bachelor of Applied Finance - - Maquarie University ~ 2011 - Advanced Diploma - Financial Planning - - Advice Education MLC ~ 2016 - Certificate in Self-Managed Superannuation Funds - - Kaplan ~ 2017 - Certificate of Margin Lending - - Kaplan ~ 2017 - Certified Financial Planner - - Financial Planning Association of Australia |
| Michelle Heffernan | 2010 | 2007 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2012 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2015 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Miguel Julian Lamvohee | 2008 | 2008 - Diploma Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Preston Randall Foster | 2001 | 1998 - Bachelor of Business (Finance) - - Charles Sturt University (CSU) ~ 2003 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) ~ 2014 - Certificate in Self Managed Superannuation Funds - - Kaplan ~ 2017 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2018 - Certificate in Margin Lending (Personal Advice) - - Mentor Education |
| Rhett Charles Pudney | 2001 | 1996 - Bachelor of Arts (Hons) - - University of Newcastle ~ 2003 - Diploma of Financial Services (Financial Planning) - - Integratec ~ 2004 - Advanced Diploma of Financial Services (Financial Planning) - - Integratec ~ 2012 - Diploma of Training and Assessment - - HBA Learning Centres ~ 2013 - Diploma of Finance & Mortgage Broking Management - - The National Finance Institute |
| Robert Greig | 2015 | 2013 - Diploma of Financial Planning - - Kaplan ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan ~ 2017 - Master of Financial Planning - - Kaplan ~ 2018 - Certificate in Self-Managed Superannuation Funds - - Kaplan Professional |
| Sarah Gonzales | 2011 | 2010 - Bachelor of Applied Finance/Bachelor of Commerce - Accounting - - Macquarie University ~ 2016 - Master of Applied Finance - - Macquarie University ~ 2017 - Certificate in Self-managed Superannuation Funds - - Kaplan |
| Sean Moran | 2016 | 1997 - Bachelor of Commerce - - The University of Southern Queensland ~ 2001 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2015 - Securities & Managed Investments - - Kaplan Professional ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Steven Toniazzo | 2002 | 1992 - Bachelor of Business - - Monash University ~ 2005 - Self Managed Superannuation Funds - - Tribeca Learning(Aust) ~ 2006 - Diploma of Financial Markets - - Financial Services Institute of Australasia ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2015 - Certified Financial Planner CFP - - Financial Planning Association of Australia |
| Timothy David Conde | 1998 | 1994 - Bachelor of Economics - - Macquarie University ~ 1997 - Certified Practicing Accountant - - CPA Australia ~ 2002 - Certified Financial Planner CFP - - Financial Planning Association of Australia ~ 2005 - Self Managed Superannuation Funds - - Tribecca ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional |
| Toby Robert Simpson | 2018 | 2017 - Diploma of Financial Planning - - Monarch Institute |
| Tracey Pace | 2001 | 2000 - Bachelor of Business ( Financial Planning) - - RMIT ~ 2004 - Certified Financial Planner - - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Warner Leung | 2008 | 2009 - Bachelor of Finance (Business Finance) - - University of Newcastle ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2015 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional Education |