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:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
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 |
|---|---|---|
| Alan Geoffrey Marsh | 1984 | 1986 - Australian Certified Investment Planner (with distinction) - - Australian Investment Planners' Association ~ 2014 - Principles in Self Managed Superannuation Funds - - International Institute of Technology ~ 2014 - Principles of Advanced Taxation Planning - - International Institute of Technology ~ 2015 - Advanced Diploma of Financial Planning - - International Institute of Technology ~ 2021 - Financial Planning - Masters Degree (AQF 9) - SGSM (WSU) |
| Andreas Papaioannou | 2004 | 1992 - Bachelor of Business - - University of Western Sydney ~ 2004 - Diploma of Financial Services - - Securities Institute |
| Andrew Unterweger | 1988 | 2001 - Diploma of Financial Planning - - Financial Planning Association ~ 2013 - Diploma of Finance and Mortgage Broking Management - - Australis College (formerly Intellitrain) |
| Brad Frankham | 2009 | 2008 - Bachelor of Commerce - - University of Newcastle ~ 2015 - Diploma of Financial Planning - - Monarch Institute ~ 2016 - Professional Diploma in Stockbroking - - Stockbrokers Association of Aust (formerly SDIA) |
| Bradley Jon Dawson | 2023 | 2016 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Chantel Jade Woods | 2018 | 2018 - Diploma of Financial Planning - - Kaplan |
| Christopher Louis Kadri | 2012 | 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - International Institute of Technology ~ 2012 - Margin Lending (928S) - Other - Kaplan ~ 2015 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - Kaplan ~ 2020 - ALPA - Other - Kaplan ~ 2020 - SuperConcepts & ICFS Specialist SMSF Course - Other - The University of Adelaide/Super Concepts |
| Cumarasamy Ravishankar | 2008 | 2010 - RG146 - - Kaplan ~ 2014 - CPA SMSF - - CPA ~ 2014 - Margin Lending - - Kaplan |
| Diana Ramirez Martinez | 2015 | 2002 - Bachelor Degree of Business - - San Buenaventura University ~ 2003 - Studies of Accounting and international finance - - ICESI ~ 2010 - Diploma of Financial Services - - ThreeSixty ~ 2021 - Advance Diploma in Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Gayle Margaret Mckew | 2003 | 2005 - Self Managed Super Funds - - Kaplan Professional Education (formerly Tribeca) ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education (formerly Tribeca) ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2016 - Accredited Aged Care Professional - - Aged Care Steps ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN |
| Geoffrey James Madafiglio | 1999 | 1991 - Bachelor of Economics Law - - University of Sydney ~ 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia Limited |
| Glen Killen | 2006 | 2004 - Advanced Diploma of Financial Services (Financial Planning) - - ThreeSixty ~ 2007 - Sharemarket investing for long-term gain - - University of Sydney ~ 2014 - ASX Listed Products Accreditation Course - - LPAC |
| Janice Gail Iloni Furstenberg | 2001 | 1990 - Bachelor of Economic Science - - University of Witwatersrand ~ 1998 - MBA - - University of Capetown ~ 2003 - Diploma of Financial Services (Financial Planning) FNB50802 - - Integratec Training Pty Ltd ~ 2010 - Certified Financial Planner - - FPA ~ 2011 - Self Managed Superannuation Funds (SMSF) Program - - Kaplan |
| Jeffery Chan | 2012 | 2006 - Diploma of Financial Services (Financial Planning) - - Finsia ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy ~ 2018 - Graduate Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Master of Financial Planning - - Kaplan Professional ~ 2019 - Certificate IV in Finance and Mortgage Broking - - AAMC Training Group |
| John Clayton Robertson | 1987 | 1983 - Bachelor of Business (Accounting) - - Curtain University (WA) ~ 2002 - Diploma of Financial Planning - - Financial Planning Association ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - Self Managed Superannuation Funds - - Kaplan ~ 2014 - ASX Listed Products Accreditation Course (LPAC) - - LPAC Online Pty Ltd |
| John Raymond Walker | 2013 | 1988 - Bachelor of Business Major in Accounting, Finance & Economics - Bachelor Degree (AQF 7) - University of Technology Sydney (UTS) ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2014 - Certificate lV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2014 - Self Managed Superannuation Fund - Other - Kaplan Professional |
| Michael Ngee Tiong Tan | 2004 | 1968 - Bachelor of Commerce - - University of Birmingham ~ 1989 - Chartered Accountant - - Chartered Accountants Australia ~ 2000 - PhD Governance and Banking - - University of NSW ~ 2006 - Certified Financial Planner - - FPA ~ 2006 - Diploma of Financial Planning - - FPA |
| Michael Paul Anderson | 2008 | 2008 - Bachelor of Commerce - - Deakin University ~ 2015 - Certified Financial Planner CFP 1, 2 & 4 - - Deakin University ~ 2020 - Ethics for Financial Services - Bridging Course - Ethics - Deakin University |
| Michael Williams | 1990 | 1983 - Accounting Certificate - - TAFE ~ 1998 - Diploma of Financial Planning - - Financial Planning Assocation of Australia ~ 2005 - Association of Superannuation Funds Australia - - Diploma of Financial ~ 2005 - Certified Financial Planner - Advanced Diploma (AQF 6) - FPA ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional |
| Mylie Linda Johnston | 1997 | 2000 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2001 - Certified Financial Planner - - FPA ~ 2001 - Certified Financial Planner - - Financial Planning Association of Australia |
| Neal Hornsby | 1985 | 2002 - Master of Business Administration - Masters Degree (AQF 9) - University of Southern Queensland ~ 2006 - Diploma of Financial Services (Financial Planning) - Certificate (AQF 1-4) - QUANTUM ~ 2006 - RG 104 and RG 146 - Diploma Financial Services Financial Planning - Incl-Derivatives and MDA - Advanced Diploma (AQF 6) - QUANTUM ~ 2017 - Margin Lending - Certificate (AQF 1-4) - Financial Education Professionals ~ 2018 - SMSF and Estate Planning - Certificate (AQF 1-4) - Mentor |
| Norman Howe | 2004 | 2004 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2004 - Self Managed Superannuation Funds - - Tribeca ~ 2007 - ASX Listed Products Accreditation Course - - ASX/Savings Factory ~ 2012 - Master of Business Adminstration (Executive) - - Australian Catholic University ~ 2014 - Advanced Diploma of Financial Planning - - Pinnacle Financial Services Academy |
| Paul Anthony Woodward | 2000 | 2001 - Diploma of Financial Advising - - Securities Institute ~ 2017 - Advanced Diploma of Financial Planning - - Integrity Education Group ~ 2017 - Tier 1 Margin Lending - Personal Advice - - Kaplan |
| Peter John O'malley | 2013 | 2012 - Bachelor of Commerce - - Macquaire University ~ 2013 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Master of Financial Planning - - University of NSW ~ 2017 - SMSF SSA Acreditation - - SMSF Association |
| Riley Young | 2004 | 1997 - Diploma of Financial Planning - - Securities Institute Education ~ 2011 - Certificate in Margin Lending - - Kaplan ~ 2015 - Certificate SMSF Course - - The University of Adelaide |
| Robert Farr | 1999 | 1987 - Bachelor of Business - - Kuring-gai College of Advanced Education UTS ~ 1989 - Chartered Accountant - - Chartered Accountants Australia New Zealand ~ 1998 - Diploma of Financial Planning 1-4 - - Financial Planning Assocation of Australia -FPA ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2012 - SMSF Specialist Adviser - Certificate (AQF 1-4) - Self-Managed Super Fund Association |
| Roberto Larrondo | 2011 | 2006 - Bachelor of Economics - - University of Western Sydney ~ 2006 - Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2012 - Master of Applied Finance - - Kaplan Professional ~ 2014 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional |
| Roger Singh | 2013 | 2005 - Diploma Financial Services (Financial Planning) - - Securities Institute ~ 2005 - Diploma Financial Services - - Securities Institute |
| Shylea Ulrick | 2005 | 2005 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) ~ 2014 - SMSF Specialist Advisor - Advanced Diploma (AQF 6) - Self-Managed Super Fund Association ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - KAPLAN |
| Stacy Louise Giovinazzo | 2014 | 2013 - Bachelor of Business - Accounting - Bachelor Degree (AQF 7) - University of Sunshine Coast ~ 2013 - Bachelor of Financial Planning - Bachelor Degree (AQF 7) - University of Sunshine Coast ~ 2021 - Executive Master of Business Administration - Masters Degree (AQF 9) - University of Sunshine Coast |
| Stephen David Murray | 1983 | 2004 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca Learning (Australia) |
| William Alexander Brown | 1988 | 2002 - PS 146 Knowledge Assessment - - Integratec ~ 2011 - Estate Planning - - Estplan |