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 |
|---|---|---|
| Abhay Kapoor | 2009 | Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Kaplan Professional Education ~ Diploma of Financial Services (Financial Planning) FNS50804 - Kaplan Professional Education ~ Master of Business (Accountancy) - University of South Australia |
| Andrew Coloretti | 2009 | Bachelor of Business (Banking & Finance) - Monash University ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Margin Lending - Mentor Education ~ Post-Graduate Diploma in Accounting - Monash University |
| Benjamin-charles Vella | 2017 | Bachelor of Commerce (Accounting and Finance) - Notre Dame Australia ~ Diploma of Financial Planning - Mentor Education ~ Graduate Diploma Chartered Accountancy - ICAANZ |
| Blair James Connor | 2000 | Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Boqi Zhang | 2017 | Bachelor of Science (Mathematics) - Shanghai Jiaotong University School of Mathematics ~ Core 1 Securities & Managed Investments Accreditation Program - Stockbrokers Association of Australia ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Master of Commerce (Financial Econometrics) - University of New South Wales ~ Master of Philosophy (Banking and Finance) - University of New South Wales |
| Brady Richard Black | 2005 | Bachelor of Applied Finance - University of New England ~ Certificate 4 in Insurance Broking - ANZ Institute of Insurance and finance ~ Graduate Diploma of Financial Services - Securities Institute of Australia ~ Self Managed Superannuation Funds - Kaplan Professional |
| Clinton Michael Lindqvist | 2011 | 11th Annual Superannuation Intensive - The Tax Institute ~ Advanced Diploma of Accounting - NSW TAFE ~ Diploma of Financial Services - The Carlyle Institute Pty Ltd ~ Quarterly Network Seminar - DBA Lawyers ~ Quarterly Network Seminar - DBA Lawyers |
| Daniel Luke Diprose | 2008 | Advanced Diploma Financial Planning - Mentor Education ~ Diploma Financial Services Financial Planning - Mentor Education ~ Diploma of Finance and Mortgage Broking Management - AAMC Training Group ~ Self Managed Superannuation Funds - Mentor Education Group |
| Daniel Robert Uden | 2016 | Accountants Self-Managed Superannuation Funds - Kaplan ~ Bachelor of Business (Accounting) - Charles Sturt University |
| Darren Mclaine | 1980 | Diploma of Financial Services (Financial Planning) - PS146 Training Australia |
| David John Loughnan | 2014 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - Mentor Education ~ Provide Advice in Margin Lending - Mentor Education ~ Provide Advice in Self Managed Superannuation Funds - Mentor Education |
| David Phoutasack Sengchansavang | 2007 | Advanced Diploma Financial Planning FNS60404 - Mentor Education Group ~ Diploma Financial Planning FNS50804 - Mentor Education Group ~ Graduate-Certificate Financial Planning - Griffith University ~ Master of Financial Planning - Griffith University |
| Dimuth Sunanda Samarasinghe | 2010 | Bachelor of Business (Accounting) - Washington International University ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - TMA ~ Diploma of Financial Services (Financial Planning) - Traineeship Management Australia ~ Diploma of Management - University of Waikato ~ Self Managed Super Fund Course - AAMC |
| Gareth Cecil Tomlinson | 2015 | ALPA - Kaplan ~ Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Business Management & Economics) - Charles Sturt University (CSU) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Tier 1 Margin Lending - Personal Advice - Kaplan Professional |
| Grant Neil Scully | 2005 | Bachelor of Business (Finance & Financial Planning) - Southern Cross University & RMIT University ~ Certified Financial Planner - FPA ~ Kaplan ASX Markets Responsible Executive - Kaplan ~ Kaplan Self Managed Super Funds - Kaplan |
| Hjalmar Ronngard | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business - La Trobe University ~ Diploma of Financial Planning - Monarch Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| James Robert Kelsey | 2006 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Economics - University of Queensland ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Jerome Anthony Ryle DE Kretser | 2011 | Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Jodie Nolan | 1998 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca Learning (Aust) ~ Diploma of Financial Services (Financial Planning) - Tribeca Learning (Aust) ~ Graduate Certificate in Business - Queensland University of Technology ~ Master of Business (Applied Finance) - Queensland University of Technology |
| John Francis Scott | 1999 | Diploma of Financial Planning - Kaplan Professional |
| John Kalla | 2011 | Advanced Diploma of Financial Planning - Investment Banking Institute ~ Diploma of Financial Planning - Investment Banking Institute ~ Master of Business Administration - University of Canberra ~ Self Managed Superannuation Funds - Kaplan Professional |
| John Ross Cachia | 2009 | Bachelor Degree - Business - Victoria University ~ Bachelor Degree - Business - Victoria University ~ Diploma - Financial Services - Kaplan ~ Diploma - Financial Services - Kaplan |
| Laurelle Bryce | 2014 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ SMSF - Cavendish & ICFS Specialist |
| Leslie Josh Eisemann | 1996 | CFP Certification Program - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Margin Lending and Geared Investments - Kaplan ~ Master of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan |
| Ling Yao | 2000 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology |
| Matthew Edward Byrne | 2005 | ASX Accredited Listed Products Adviser - Kaplan ~ Bachelor of Business - University of Technology Sydney ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Self Managed Super Fund - Kaplan |
| Michael Robert Birnie | 2017 | ASX Listed Investment Products Accreditation Course - LPAC Online ~ Diploma of Financial Planning - Monarch Institute |
| Michael Sik | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Margin Lending - Kaplan ~ Master of Applied Finance - Kaplan Higher Education Pty Ltd ~ Self Managed SuperFunds - Kaplan |
| Mithad Destanovic | 2007 | Diploma of Financial Planning - AAMC Training Group ~ Self Managed Superannuation Funds - AAMC Training Group |
| Nicholas Savonoff | 2015 | Diploma of Financial Planning - International Institute of Technology |
| Ozan Gumus | 2015 | Bachelor of Business - Victoria University of Technology ~ Diploma of Financial Planning - AAMC Training Group ~ Self Managed Superannuation Funds - AAMC Training Group |
| Pasquale Rocca | 2016 | Diploma of Financial Planning - Mentor Education ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
| Patrick James Dysart | 2013 | Advanced Diploma - Financial Planning - INTERNATIONAL INSTITUTE OF TECHNOLOGY ~ Diploma - Financial Planning - INTERNATIONAL INSTITUTE OF TECHNOLOGY ~ Self Managed Superannuation Fund Adviser (Personal Advice) - MENTOR |
| Prasanna Iyer | 2018 | Diploma of Financial Planning - Integrity Education Group |
| Quang Tran | 2006 | ASX Listed Products Accreditation Course, Certificate of Completion - LPAC Online ~ Diploma of Financial Services (Finance/Mortgage Broking Managment) - The National Finance Institute ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
| Raffi Sheohmelian | 1997 | Bachelor of Business (Accounting) - Deakin University ~ Diploma of Financial Services - Pinnacle Financial Services Academy Pty Ltd |
| Robert Aleksandar Jonovski | 2015 | Advanced Diploma of Financial Planning - Mentor Education Pty Ltd ~ Bachelor of Commerce (Marketing) - University of Wollongong ~ DFP5V4 Tax for Financial Advising - Kaplan Professional ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) |
| SU Zhen WU | 1999 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology ~ ITT_DFS(FP) - International Institute of Technology |
| Shane Clint Martin | 2008 | Cert IV in Financial Services (Finance\Mortgage Broking) - Tafe NSW ~ Diploma in Financial Planning - Pinnacle Financial Services Academy |
| Shane Patrick Duff | 2006 | ASIC Listed Pridcuts Accreditaiton Course, Certificate of Completion - LPAC Online ~ Diploma of Financial Services (Finance/Mortgage Broking Management) - the National Finance Institute ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan |
| Shuxia Philip Wang | 2019 | Diploma of Financial Planning - Kaplan Professional ~ Master of Applied Finance - Macquarie University |
| Timothy Daniel Bryce | 2006 | Diploma of Financial Services - Train Track ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ SMSF Specialist Advisor - SPAA |
| Vito Ventura | 1973 | Advanced Diploma - Financial Planning - Deakin Financial Service ~ Advanced Diploma - Financial Planning - Deakin Financial Service |
| Yusuf Mogammad Ebrahim-goder | 2018 | ASX Listed Products Accreditation Course (LPAC) - LPAC Online Pty Ltd ~ Bachelor of Commerce (Accounting) - Griffith University ~ Diploma of Financial Planning - Monarch Institute |