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