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;
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:
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;
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 |
|---|---|---|
| Andrew John Molyneaux | 2011 | 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2018 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor educations |
| Anthony D'alessandro | 1995 | 2002 - Diploma Financial Services (Financial Planning) - - Tribeca ~ 2006 - Advanced Diploma Financial Services (Financial Planning) - - Tribeca ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2011 - Self Managed Super Funds Strategies Intensive Borrowing Course - - SMSF Strategies |
| Chenara Maie Newbegin | 2012 | 2012 - Diploma of Financial Planning - - Pinnacle Financial Services ~ 2013 - Margin Lending - Other - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2021 - Accredited Aged Care Professional - Other - Aged Care Steps ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Christian Moar | 2003 | 2001 - Bachelor of Business (Accounting/Economics) - - Charles Sturt University ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2009 - Self-Managed Superannuation Funds - - Kaplan Professional ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional |
| Claudia Rigoni-brazzale | 2006 | 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2014 - Retirement Living & Aged Care Specialist - Other - Aged Care Gurus ~ 2021 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2021 - Self Managed Superannuation Funds Program - Other - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education |
| Conrad Greer | 1990 | 2003 - Diploma - financial advising - - securities institute ~ 2006 - Advanced Diploma - Financial Planning - - tribeca ~ 2006 - Diploma - financial services - - tribeca ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2018 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education |
| Damien Griffiths | 2003 | 2006 - Advanced Diploma Financial Services (Financial Planning) - - Tribeca ~ 2011 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2013 - SMSF Accreditation - - Terra Cordis ~ 2014 - Accredited Listed Product Adviser Program - - Kaplan Professional |
| Damien Neville Macfarlane | 2007 | 2002 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2018 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor education |
| Darcy Catherine Krenn | 2021 | 2018 - Bachelor of Business (Economics & Finance) - Bachelor Degree (AQF 7) - RMIT University ~ 2020 - Financial Advisory Practice - Bachelor Degree (AQF 7) - RMIT University ~ 2020 - Risk, Insurance and Social Security - Bachelor Degree (AQF 7) - RMIT University ~ 2023 - SMSF Regulations and Taxation - Other - Kaplan Professional |
| David Horan | 2005 | 2004 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribecca ~ 2007 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2024 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2024 - Introduction to Self Managed Superannuation Funds - Other - Kaplan Professional |
| David Michael Posterino | 2014 | 2009 - Bachelor of Commerce (Majoring Accounting, Finance and Financial Planning) - - Deakin University ~ 2017 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2018 - Self Managed Superannuation Funds - - Kaplan Professional |
| Deanne Maree Eriksen | 2018 | 2003 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2023 - SMSF Regulations and Taxation - Other - Kaplan Professional |
| Denis Durand | 2000 | 1996 - Bachelor of Economics - - La Trobe University ~ 2005 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Elise Maree Sawyer | 2008 | 2007 - Bachelor of Commerce Applied Finance (Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2010 - Margin Lending and Geared Investments - Diploma (AQF 5) - Kaplan Professinal ~ 2012 - Master of Applied Finance (Major Financial Planning) - Masters Degree (AQF 9) - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professinal ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Erwin Leyden | 1987 | 1986 - Bachelor Degree - Education - - Victoria University ~ 2005 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute |
| Eujoon Lim | 2013 | 2009 - Bachelor of Business (Financial Risk Management) - Bachelor Degree (AQF 7) - Monash University ~ 2011 - Masters of Applied Econometrics - Masters Degree (AQF 9) - Monash University ~ 2013 - FNS50611 Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Integrity Education Group |
| Giuseppe Cardamone | 2006 | 2005 - Bachelor of Commerce - - Deakin University ~ 2006 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional |
| Giuseppe Scarmozzino | 2012 | 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2014 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2019 - Accredited Listed Product Adviser Program - - Kaplan Professional |
| Glenn David Trickey | 2003 | 2003 - Diploma Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2004 - Self Managed Super Funds - Diploma (AQF 5) - Tribeca ~ 2005 - Advanced Diploma Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2010 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jacques Christopher Desire | 2007 | 2007 - Bachelor of Business (Economics & Finance) - - RMIT ~ 2008 - Graduate Diploma of Financial Planning - - FINSIA ~ 2019 - SMSF Specialist Advisors (SSA) - - SMSF Association |
| James Kingsford Paul | 0 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| John Hevron | 1999 | 2004 - Diploma of Financial Services (Financial Planning) - - Tribecca ~ 2011 - Margin Lending - - MLC ~ 2016 - Advanced Diploma Financial Planning - - AAMC Training Group ~ 2018 - ASX Listed Products Accreditation Course (LPAC) - - LPACOnline |
| Justin Samuel Rynehart | 2018 | 2002 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Kurt Fitzgibbon | 2000 | 2004 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) ~ 2004 - Self Managed Super Funds - - SMSF Strategies ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2015 - Accredited Aged Care Professional - Other - Aged Care Steps ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Maksym Mashkivskyy | 2023 | 2019 - Bachelor of Commerce (Co-Op) in Accounting and Finance - Bachelor Degree (AQF 7) - The University of New South Wales ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Mark Justin Stratton | 2018 | 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2021 - Accredited Aged Care Professional - Other - Aged Care Steps ~ 2021 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2021 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| Marlene Zwarts | 2009 | 2010 - Margin Lending and Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - Accredited Aged Care Professional - Other - Aged Care Steps |
| Melanie Kate Monk | 2002 | 2001 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2011 - Margin Lending - - MLC ~ 2014 - Certified Financial Planner - - Financial Planning Institute of Australia ~ 2018 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor education |
| Natalee Catherine Cacozza | 2018 | 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2019 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nicholas Bregolin | 2015 | 2007 - Diploma of Commerce - Diploma (AQF 5) - Sydney Institute of Business and Technology ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Tier 1 Margin Lending - Personal Advice - Other - Kaplan Professional |
| Nicolas Fanto | 2008 | 2008 - Diploma in Financial Services (Financial Planning) - - Mentor Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nicolas Faustin | 2018 | 1999 - Master of Business Administration - Masters Degree (AQF 9) - Deakin University ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education Pty Ltd ~ 2022 - Debt Strategies - Other - Kaplan ~ 2022 - SuperConcepts & ICFS Specialist SMSF - Other - The University of Adelaide |
| Nicole Murphy | 1992 | 2002 - Diploma of Financial Planning - - FPA ~ 2019 - Accredited Listed Product Adviser Program - - Kaplan Professional |
| Nizam Emini | 1998 | 2004 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Patrick Marks | 2024 | 2021 - Bachelor of Commerce, Majoring in Finance Management - Bachelor Degree (AQF 7) - The University of Melbourne ~ 2022 - Maser of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Paul Anthony Davis | 1993 | 1996 - Diploma Financial Planning (Financial Planning, Risk Management and Insurance, Estate Planning) - - Deakin University ~ 2001 - Statement of Attainment (Superannuation & Retirement Planning, Investment Planning) - - Integratec ~ 2012 - Associate CIP - - Australian and New Zealand Institute of Insurance and Finance ~ 2016 - Advanced Diploma of Financial Planning - - Mentor education |
| Paul Seidl | 2016 | 2015 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - La Trobe University ~ 2016 - Managed Investment Adviser (Personal Advice) - Certificate (AQF 1-4) - Mentor Education ~ 2022 - Australian Taxation Law for Tax (financial) Advisers - Other - AAMC Training Group |
| Rowan Charles Wadley | 1998 | 2002 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2005 - Applied Self Managed Super Fund Advice - Diploma (AQF 5) - Australia Executor Trustees ~ 2011 - Margin Lending - Diploma (AQF 5) - MLC ~ 2018 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Sam Koranias | 2016 | 2013 - Bachelor Business(Financial Planning) - Bachelor Degree (AQF 7) - La Trobe University ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education |
| Serhan Aslan | 2018 | 2015 - Diploma of Financial Planning - - RMIT ~ 2017 - Associate Degree in Business - - RMIT |
| Shane Charles Tonkin | 1988 | 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor education ~ 2019 - Accredited Listed Product Adviser Program - - Kaplan Professional |
| Shannah French | 2017 | 2015 - Bachelor of Commerce (Commercial Law) - Bachelor Degree (AQF 7) - Swinburne University of TechNology ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Skye Kennedy | 2024 | 2018 - Bachelor of Business - Bachelor Degree (AQF 7) - Victoria University ~ 2022 - Bachelor of Commerce with Distinction, Majoring in Financial Planning - Bachelor Degree (AQF 7) - Deakin University |
| Sotos Zervides | 2000 | 1988 - Bachelor of Arts - Bachelor Degree (AQF 7) - Phillip Institute of Technology ~ 2005 - Diploma of Financial Advising - Diploma (AQF 5) - Securities Institute ~ 2011 - RG146 Provide advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Stephen Paul Gorrie | 2000 | 1985 - Bachelor of Financial Adminstration - Bachelor Degree (AQF 7) - The University of New England ~ 2000 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2014 - SMSF Specialist Accreditation Course - - SMSF Strategies |
| Steven Colin Johnstone | 2003 | 1990 - Bachelor of Business - - University of Western Sydney ~ 1995 - Graduate Diploma in Applied Finance and Investment - - Securities Institute ~ 2004 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2011 - Margin Lending - - MLC ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan Professional |
| Stuart Abley | 1995 | 1998 - Certified Financial Planner - - Financial Planning Association ~ 1998 - Diploma of Financial Planning - - FPA ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Terry Panigiris | 1988 | 1983 - Bachelor of Business - - The New South Wales Institute of Technology ~ 2003 - Certified Financial Planner - - FPA ~ 2003 - Diploma of Financial Planning - - FPA ~ 2013 - Cavendish & ICFS Specialist SMSF Course - - The University of Adelaide ~ 2018 - ASX Listed Products Accreditation Course - - LPACOnline |
| Theo Christopoulos | 1987 | 1998 - Graduate Diploma - Business Administration - - Swinburne University ~ 2001 - CFP - Certified Financial Planner - - Financial Planning Association of Australia Ltd ~ 2003 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin ~ 2011 - Margin Lending - - MLC ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan Professional |
| Timea Barczi | 2018 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2021 - Tax and Commercial Law for Financial Planning - Other - Kaplan Professional ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Tracey Doreen Nuttall | 2010 | 2011 - Margin Lending - Diploma (AQF 5) - MLC ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia |
| Wesley Gervais Folkard | 2018 | 2010 - Bachelor Business (Financial Risk Management) - Bachelor Degree (AQF 7) - Victoria University ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Yagmur Tracey Sofra | 1999 | 1998 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) |
| Zacharia Cartsidimas | 2010 | 1993 - Bachelor Of Economics - Bachelor Degree (AQF 7) - La Trobe University ~ 2010 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Mentor Education Group ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |