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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
general insurance 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;
superannuation;
carbon units;
Australian carbon credit units;
eligible international emissions units; and
financial products limited to:
miscellaneous financial investment products limited to managed investment warrants;
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:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
general insurance 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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to managed investment warrants;
miscellaneous financial risk products limited to property and accident risk products;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
general insurance 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;
superannuation;
carbon units;
Australian carbon credit units;
eligible international emissions units; and
financial products limited to:
miscellaneous financial investment products limited to managed investment warrants;
miscellaneous financial risk products limited to property and accident risk products; and
underwriting:
interests in managed investment schemes; and
an issue of securities;
make a market for the following financial products:
foreign exchange contracts;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body;
carbon units;
Australian carbon credit units;
eligible international emissions units; and
limited to financial products other than:
derivatives;
foreign exchange contracts; and
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
provide the following custodial or depository services:
operate the investor directed portfolio service known as "ANZ Private Portfolio (BT Wrap)" (the IDPS); and
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Sferruzzi | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Graduate Certificate in Applied Finance - Kaplan Professional ~ Master of Applied Finance - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Adam Williams | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Monarch Institute ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Alexander Sapcas | 2015 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Commerce (Actuarial Studies and Finance) - University of New South Wales ~ Diploma of Financial Planning - Monarch Institute ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Angelique Poulakas | 2006 | Bachelor of Business (Applied Finance) - University of Western Sydney ~ Diploma of Financial Planning - Deakin University ~ Financial Adviser Exam - FASEA ~ Margin Lending & Geared Investments - Kaplan |
| Anita Louie | 2001 | Diploma of Financial Planning - FPA ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Master of Applied Finance (Financial Planning) - Charles Sturt University (CSU) |
| Annastasia Wells | 2018 | Bachelor of Commerce (Finance) - Griffith University ~ Certified Financial Planner - FPA ~ Chartered Financial Analyst - CFA Institute ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Charles Hoffmann | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Financve) - University of Queensland ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPE016 Self-Managed Superannuation Funds - Kaplan Professional |
| Chi Kay David Chia | 2006 | Bachelor of Arts - University of Melbourne ~ Diploma of Financial Services - Pinnacle ~ Master of Applied Finance - Monash University |
| David Lipari | 2005 | Certified Financial Planner - FPA ~ Graduate Diploma of Financial Planning - Financial Services Institute of Australasia (FINSIA) |
| Fletcher Kibble | 2021 | Bachelor of Commerce (Economics and Financial Planning) - Griffith University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPE020 SMSF Regulations and Taxation - Kaplan Professional |
| Jade Tan | 2005 | Bachelor of Business (Finance & Information Technology) - University of Technology Sydney ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Life Risk Specialist - FPA ~ SMSF Specialist Adviser - SMSF Professionals' Association of Australia |
| James Edward Dunlop | 2000 | Graduate Diploma in Financial Planning - FINSIA ~ Post Grad Diploma Financial Planning - FINSIA |
| James Yankaiya | 2016 | Advanced Diploma of Financial Planning FNS60415 - Mentor education ~ Bachelor of Economics - Macquarie University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FNS50611 Diploma of Financial Planning - Pinnacle Financial Services Academy |
| Joanne May Stenzel | 1999 | Certificate IV Finance and Mortgage Broking FNS40811 - AAMC Training Group ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional Education ~ Tier 1 Margin Lending - Knowledge and Skills - Kaplan Professional Education |
| Joel Fuller | 2005 | ASX Accredited Listed Products (ALPA) Program - Kaplan Professional ~ Bachelor of Commerce - Deakin University ~ Foreign Exchange - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Joel Vincent Fricker | 2022 | Bachelor of Applied Finance - Macquarie University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Kaplan Professional ~ Masters of Financial Planning - Kaplan Professional |
| Jon Bishop | 2013 | Bachelor of Commerce (Economics & Finance - Griffith University ~ Certified Financial Planner CFP - FPA ~ Diploma of Financial Planning - Monarch Institute ~ Graduate Diploma of Applied Finance - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Liana Joyce Cauchi | 2001 | Bachelor of Commerce - Newcastle University ~ Diploma of Financial Planning - FPA ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |
| Ljubica Kierno | 2009 | Bachelor of Economics - The University of Adelaide ~ Diploma of Financial Advising - Securities Institute of Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - University of the Sunshine Coast |
| Louisa Jane Merry | 2016 | Advanced Diploma Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Major in Financial Planning) - Deakin University ~ FPE016 Self-Managed Superannuation Funds - Kaplan Professional ~ Foreign Exchange - Kaplan Professional ~ Margin Lending - Kaplan Professional |
| Maria Louise Doyle | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Master of Financial Planning - Deakin University ~ Self Managed Superannuation Funds - Kaplan Professional |
| Mark Andrew Powell | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Banking and Finance)/Bachelor of Laws - Queensland Univeristy of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |
| Mark O'donnell | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional ~ Self Managed Super Funds - Kaplan Professional |
| Matthew Irwin Zander | 1998 | Bachelor of Commerce (Management) - University of Otago ~ Commercial Law - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - ThreeSixty ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Financial Planning & Wealth Creation - Securities Institute |
| Oscar Chaves Neto | 0 | Bachelor of Arts and Applied Business - Coventry University ~ Diploma of Fiancial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Pierre Sowerby | 2017 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Commerce (Management Science) - University of Stellenbosch ~ Bachelor of Philosophy (Maritime Studies) - University of Stellenbosch ~ Diploma of Financial Planning - Integrity Education Group |
| Rita Leong | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Arts - University of Manitoba |
| Sammy Gitonga | 2018 | Graduate Diploma Applied Finance - Finsia |
| Stephen William Donald | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending - Financial Education Professionals ~ Master of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan |
| Timothy Reginald Gerald Avery | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional |
| Tommy Chuan Eng Koh | 2000 | Certified Financial Planner - FPA ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Applied Finance - Kaplan Professional |
| William Rennie | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Finance - La Trobe University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Super Funds - Kaplan Professional |
| Zoe Louise Morris | 2017 | Advanced Diploma of Financial planning - Kaplan Professional ~ Bachelor of Business (International Business) - RMIT University ~ Diploma of Financial Planning - Monarch Institute ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |