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 |
|---|---|---|
| Ashleigh Victoria Steeles | 2022 | Bachelor of Arts - University of Wollongong ~ Bachelor of Commerce Financial Planning - University of Wollongong ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Belinda Jane Marley-wallace | 2009 | Diploma of Financial Services (Financial Planning) - KAPLAN |
| Belinda Lee Veriton | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Science in Engineering - University of Natal ~ Diploma of Financial Planning - Kaplan Education ~ Doctor of Philosophy in the Faculty of Engineering - University of Natal ~ Master of Financial Planning - Kaplan |
| Bobby Jed Byrne | 2022 | Bachelor of Commerce (Finance & Financial Planning) - Griffith Universtiy ~ SMSF Regulations and Taxation - Kaplan Professional |
| Bradley Jason Wall | 1998 | ASX Securities - Kaplan ~ Bachelor of Business - Griffith University ~ Certified Financial Planner - FPA ~ Margin Lending - Kaplan ~ Self Managed Super Fund Course - Tower |
| Brooke Riewoldt | 2021 | Bachelor of Business - Griffith University ~ Bachelor of Commerce - Griffith University ~ Ethics & Professionalism in Financial Advice - Kaplan |
| Cody Nicholas Findlay | 2018 | Bachelor of Applied Finance - Macquarie University ~ Bachelor of Economics - Macquarie University ~ Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan Professional |
| Courtneay Smith | 2000 | Bachelor of Business (Accounting) - University of the Sunshine Coast ~ Certified Financial Planner Program - The Financial Planning Process - FPA ~ Certified Practising Accountant Program - CPA Australia ~ Ethics & Professionalism in Financial Advice - Kaplan |
| Darko Zigic | 2006 | Diploma of Financial Services (FP) - TAFE QLD ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan ~ Self Managed Superannuation Fund - Kaplan |
| Dominic DE Minaur | 2011 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ graduate diploma of applied finance - Kaplan |
| Hugh Stafford Robertson | 2004 | Advanced Diploma of Financial Services - Kaplan ~ Bachelor International Finance - Griffith University ~ Certified Financial Planner Program - FPA ~ Masters in Business Administration - Griffith University ~ Masters in Financial Planning - University of Sunshine Coast |
| Hung Phi Nguyen | 2017 | Bachelor of Commerce - Financial Planning - University of Wollongong |
| Jeffrey Mark Thurecht | 1997 | ASX Securities - Kaplan ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Margin Lending - Kaplan ~ Self Managed Super Fund Course - Australian Executor Trustees |
| Jenna Wheeler | 2009 | Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Joshua Luke Nixon | 2018 | Bachelor of Commerce in Financial Planning and Finance - Griffith University ~ Self Managed Superannuation Funds - Kaplan |
| Julie Anne Knox | 2011 | ASX Securities - Kaplan ~ Bachelor of Commerce - University of Wollongong ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Self Managed Super Fund Course - KAPLAN |
| Leesa Murphy Swain | 2021 | Bachelor of Business (Financial Planning) - Royal Melbourne Institute of Technology ~ SMSF Regulations and Taxation - Kaplan Professional |
| Marc Brandon Venter | 2002 | ASX Securities - Kaplan ~ Bachelor of Business - Griffith University ~ Certified Financial Planner - FPA ~ Margin Lending - Kaplan ~ Self Managed Super Fund Course - Tower |
| Marshall Brentnall | 2001 | ASX Securities - Kaplan ~ Bachelor of Business - University of Technology Sydney ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Self Managed Super Fund Course - Kaplan |
| Melody Edwards | 2009 | ASX Securities - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending - Kaplan ~ Master of Financial Planning - Kaplan Professional ~ Self Managed Super Fund Course - Kaplan |
| Mia Cherie Trott | 2014 | Accredited Listed Product Adviser Program - Kaplan ~ Advanced Diploma of Financial Services (FP) - Pinnacle ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan ~ Self Managed Super Fund Course - Pinnacle |
| Nicholas Georgopoulos | 2016 | Bachelor of Commerce - Griffith University ~ Debt Strategies - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Nicola Bernessa Baxter | 2016 | Bachelor of Commerce - Griffith University ~ Masters of Financial Planning - Griffith University |
| Paul Stuart Shannon Forbes | 1987 | Bachelor of Business - Capricornia Institute of Advanced Education ~ Diploma of Financial Planning - FPA ~ Graduate Diploma of Economics - Griffith University ~ Margin Lending - Kaplan |
| Troy Anthony Theobald | 1997 | Bachelor of Business - Griffith University ~ Certified Financial Planner - FPA ~ Margin Lending - Kaplan ~ SMSF Specialist Pathway Program - Tribeca |