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 |
|---|---|---|
| Andy Hung Kai Lam | 2011 | Bachelor of Commerce (International Business) - University of Wollongong ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Antoinette Cornelia Mullins | 2007 | Advanced Diploma - Financial Planning - Adviser Campus ~ Bachelor Degree - Social Work & Youthwork - University of South Africa ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Certificate IV in Finance and Mortgage Broking - AAMC Training Group ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Benjamin John Luke Seymour | 2005 | Margin Lending & Geared Investments - Kaplan Australia ~ Master of Commerce (Financial Planning) - Western Sydney University |
| Carl Jeffery Freshwater | 2015 | Advanced Diploma of Financial Services - Kaplan Professional ~ Advanced Diploma of Financial Services - Kaplan Professional ~ Bachelor of Business (Business Information Systems) - RMIT ~ Bachelor of Business (Business Information Systems) - RMIT ~ Certified Financial Planner - Financial Planning Association of Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services - Kaplan Professional ~ Diploma of Financial Services - Kaplan Professional ~ Self Managed Superannuation - Kaplan ~ Self Managed Superannuation - Kaplan |
| Chad Brookes | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - International Institute of Technology ~ Graduate Diploma of Applied Finance - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
| Chee Wai Brendon Leong | 2015 | Bachelor of Commerce (Accounting) - University of Newcastle ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning FNS50611 - Monarch Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Chinthaka Dilshan Muthukuda | 2012 | CFP Certification Program - Financial Planning Association of Australia ~ Diploma Of Financial Services (Financial Planning) - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Kaplan Professional ~ Master Of Commerce - University Of New South Wales |
| Christine Lusher | 2003 | Advanced Diploma of Financial Services (Financial Planning) - Financial Planning Association of Australia (FPA) ~ Bachelor of Economics - University of Newcastle ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning (DFP1-8) - Financial Planning Association of Australia (FPA) ~ Margin Lending and Geared Investments - Kaplan Professional |
| 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 |
| 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 |
| Gareth Cecil Tomlinson | 2015 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Business Management & Economics) - Charles Sturt University (CSU) ~ Certified Financial Planner - Financial Planning Association of Australia ~ Tier 1 Margin Lending - Personal Advice - Kaplan Professional |
| Glenn Andrew Malkiewicz | 2012 | ASX Accredited Listed Product Adviser (ALPA) Program - Kaplan Professional ~ Bachelor of Business (Financial Planning) - RMIT ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - AAMC ~ Margin Lending - Kaplan |
| Jackson Terrence Millan | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - TAFE NSW ~ Estate Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Jacquelyn Sharma | 2013 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Diploma of Financial Planning FNS50611 - Pinnacle Financial Services Academy ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ RG146 Margin Lending - Kaplan Australia ~ RG146 Securities - Pinnacle Financial Services Academy |
| Jake Mathew Taylor | 2017 | Bachelor of Commerce (Finance and Financial Planning) - Deakin University ~ Bachelor of Commerce (Finance and Financial Planning) - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending Specialist - Kaplan ~ Margin Lending Specialist - Kaplan ~ Masters of Financial Planning - Kaplan ~ Masters of Financial Planning - Kaplan ~ Self Managed Superannuation - Terra Cordis ~ Self Managed Superannuation - Terra Cordis |
| Jayde Jenkins | 2012 | Accredited Listed Product Adviser Program - Kaplan ~ Advanced Diploma - Financial Planning - International Institute of Technology ~ Bachelor Degree - Business - Charles Sturt University ~ Diploma - Financial Planning - Mentor Education ~ Margin Lending - Pinnacle |
| Jerome Anthony Ryle DE Kretser | 2011 | Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Jim Fairhall-dickie | 2006 | Advanced Diploma of Financial Planning - AMP Financial Services ~ Certificate IV in Financial Services - Mortgage and Finance Association of Australia ~ Diploma of Financial Planning - AMP Financial Services ~ Master of Financial Planning - Kaplan Professional |
| John Ross Cachia | 2009 | Bachelor of Business (Financial Risk Management) - Victoria University ~ Bachelor of Business (Financial Risk Management) - Victoria University ~ Diploma - Financial Services - Kaplan ~ Diploma - Financial Services - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| John Ryan | 1997 | Certificate III in Financial Markets - Kaplan (formerly Securities Institute Australia) ~ Graduate Certificate of Management - University of New England ~ Margin Lending & Geared Investments - Kaplan Professional ~ Master of Business Administration (Professional Accounting) - University of New England |
| Jordan Luke Burdon | 2005 | Advanced Diploma Financial Service (Financial Planning) FNS60404 - Kaplan Australia ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma Financial Services (Financial Planning) FNS50804 - AMP ~ RG146 Margin Lending - MLC ThreeSixty |
| 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 |
| Lyall Douglas Jones | 2003 | ASX Accredited Listed Products Adviser (ALPA) Program - Kaplan ~ Generic Financial Planning - CPA ~ Margin Lending and Geared Investments - Kaplan ~ Risk Management - Kaplan ~ Self Managed Super Fund Course - kaplan |
| Magdeline Jacovides | 2013 | Accredited Listed Product Adviser Program - Kaplan ~ Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - Griffith University ~ Diploma of Financial Planning - Kaplan ~ Ethics + Professionalism in Financial Advice - Kaplan |
| Mari Nguyen | 2007 | Advanced Diploma of Financial Planning FNS60404 - Mentor Education group ~ Bachelor of Business - La Trobe University ~ Diploma of Financial Planning FNS50804 - Mentor Education group ~ SuperConcepts & ICFS Specialist SMSF - The University of Adelaide |
| 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 |
| Matthew James Brendan Wright | 2014 | Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Michael James Fox | 2018 | Bachelor of Business: Business Management/Finance - University of Tasmania ~ Certified Financial Planner - Financial Planning Association ~ LRS Life Risk Specialist - FPA ~ Master of Financial Planning - Kaplan ~ Self Managed Superannuation Fund - Kaplan |
| Michael John Durkin | 2022 | Advanced Diploma of Financial Services - Mentor Education Group ~ Aged Care - Kaplan Professional ~ Master of Commerce - UNSW ~ Master of Financial Planning - Kaplan Professional |
| 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 |
| Nicholas Savonoff | 2015 | Diploma of Financial Planning - International Institute of Technology |
| Nick Andrews | 2010 | Bachelor of Business (Financial Planning) - RMIT ~ Certified Financial Planner - Financial Planning Association of Australia |
| Nicolas Paul Saravanja | 2018 | Bachelor of Commerce (Financial Planning) - University of Wollongong ~ Certified Financial Planner - Financial Planning Association (FPA) |
| Paul Barrie Cluff | 2010 | Advanced Diploma of Financial Planning - AAMC Training Group ~ Diploma of Financial Services (Financial Planning) - AAMC Training Group ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Phuong Tran | 2017 | Bachelor of Applied Finance - Macquarie University ~ Diploma of Financial Planning - Mentor Education ~ Master of Professional Accounting - University of Technology Sydney |
| Rachael Glover | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Certificate III in Financial Services - ASFA ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Sam Layland Hodder | 2006 | Certificate IV Financial Services (Finance/Mortgage Broking) - Traineeship Management Australia (TMA) ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Graduate Diploma in Applied Finance - Securities Institute ~ Margin Lending and Geared Investments - Kaplan |
| 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 ~ 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 (Finance/Mortgage Broking Management) - the National Finance Institute ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan ~ Margin Lending and Geared Investments - Kaplan |
| Stephen Harisiou | 2013 | Bachelor of Finance - La Trobe University ~ Certificate IV in Financial Services - RMIT University ~ Diploma of Financial Services - RMIT University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Steven Schofield | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Diploma of Financial Planning - Kaplan Professional Education ~ FPC006 Tax and Commercial Law for Financial Planning - Kaplan Professional Education ~ Graduate Certificate in Financial Planning - Charles Sturt University ~ IFS Specialist SMSF Course - SuperConcepts |
| Sun Hee Hres | 1999 | ASX Accredited Listed Products Product Adviser (ALPA) Program - Kaplan ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Tanya Oddo | 2005 | Bachelor of Arts-Bachelor of Commerce - University of Wollongong ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Provide Advice in Margin Lending - MLC ThreeSixty |
| Wen Chien Chang | 2017 | Accredited Listed Product Adviser Program - Kaplan ~ Bachelor of Finance - The University of Adelaide ~ Diploma of Financial Planning - Mentor Education ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self-Managed Superannuation Funds - Kaplan |
| Werner Jansen Van Vuuren | 2004 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Margin Lending - Kaplan Professional ~ Self-Managed Superannuation Funds (SMSF) - Kaplan Professional |
| YU Sang Son | 1989 | ASX Listed Products Accreditation Course - LPACOnline ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Self Managed Superannuation Funds - Tribeca |
| Yasuhiro Kuramochi | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Certified Financial Planners (CFP) - Financial Planning Association of Australia (FPA) ~ Certified Practising Accountant (CPA) - CPA Australia ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Master of Professional Accounting Advanced - Griffith University |