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 |
|---|---|---|
| Abel Bornstein | 2002 | Applied Finance and Investment - Securities Institute ~ Financial Markets - Securities Institute ~ Graduate Diploma in Financial Planning - Securities Institute ~ Margin Lending and Geared Investments - Kaplan |
| Alan Geoffrey Marsh | 1984 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Australian Certified Investment Planner (with distinction) - Australian Investment Planners' Association ~ Financial Planning - SGSM (WSU) ~ Principles in Self Managed Superannuation Funds - International Institute of Technology ~ Principles of Advanced Taxation Planning - International Institute of Technology |
| Andreas Papaioannou | 2004 | Bachelor of Business - University of Western Sydney ~ Diploma of Financial Services - Securities Institute |
| Andrew Unterweger | 1988 | Diploma of Finance and Mortgage Broking Management - Australis College (formerly Intellitrain) ~ Diploma of Financial Planning - Financial Planning Association |
| Brad Frankham | 2009 | Bachelor of Commerce - University of Newcastle ~ Diploma of Financial Planning - Monarch Institute ~ Professional Diploma in Stockbroking - Stockbrokers Association of Aust (formerly SDIA) |
| Carl Gilmore | 2000 | Bachelor of Commerce - University of New South Wales ~ Certified Financial Planner - FPA ~ Fellow of the Institute of Chartered Accountants - Chartered Accountants Australia New Zealand ~ Financial Planning Specialist - Chartered Accountants Australia New Zealand ~ Margin Lending & Geared Investments - Kaplan Professional |
| Chantel Jade Woods | 2018 | Diploma of Financial Planning - Kaplan |
| Cumarasamy Ravishankar | 2008 | CPA SMSF - CPA ~ Margin Lending - Kaplan ~ RG146 - Kaplan |
| Eric James Drysdale | 1982 | Diploma of Financial Services - National Insurance Brokers Association |
| Gayle Margaret Mckew | 2003 | Accredited Aged Care Professional - Aged Care Steps ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education (formerly Tribeca) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education (formerly Tribeca) ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Super Funds - Kaplan Professional Education (formerly Tribeca) |
| Geoffrey James Madafiglio | 1999 | Bachelor of Economics Law - University of Sydney ~ Diploma of Financial Planning - Financial Planning Association of Australia Limited |
| Glen Killen | 2006 | ASX Listed Products Accreditation Course - LPAC ~ Advanced Diploma of Financial Services (Financial Planning) - ThreeSixty ~ Sharemarket investing for long-term gain - University of Sydney |
| Grant Slaney | 2012 | Diploma of Financial Services (Financial Planning) - TMA |
| Janice Gail Iloni Furstenberg | 2001 | Bachelor of Economic Science - University of Witwatersrand ~ Certified Financial Planner - FPA ~ Diploma of Financial Services (Financial Planning) FNB50802 - Integratec Training Pty Ltd ~ MBA - University of Capetown ~ Self Managed Superannuation Funds (SMSF) Program - Kaplan |
| Jefferson Rossetti | 2018 | Diploma of Financial Planning - KAPLAN Professional ~ MBA in Business Management - Getulio Vargas, Brazil |
| Jeffery Chan | 2012 | Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Certificate IV in Finance and Mortgage Broking - AAMC Training Group ~ Diploma of Financial Services (Financial Planning) - Finsia ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Joseph Matthew Ryan | 2004 | 924 - Superannuation - Kaplan ~ Financial Markets - Finsia ~ Managed Investments, Securities and Derivatives - Kaplan ~ Managing Risk - Finsia ~ Margin Lending and Geared Investments - Kaplan |
| Kim Leann Klein | 2003 | Accredited Derivatives Adviser Level 1 - Kaplan ~ Advance Diploma of Financial Planning - FPA - Deakin University ~ Cert IV Finance/Mortgage Broking - Kaplan ~ Certified Financial Planner - Financial Planning Association ~ SMSF Specialist - SMSF Training |
| Michael Ngee Tiong Tan | 2004 | Bachelor of Commerce - University of Birmingham ~ Certified Financial Planner - FPA ~ Chartered Accountant - Chartered Accountants Australia ~ Diploma of Financial Planning - FPA ~ PhD Governance and Banking - University of NSW |
| Michael Paul Anderson | 2008 | Bachelor of Commerce - Deakin University ~ Certified Financial Planner CFP 1, 2 & 4 - Deakin University ~ Ethics for Financial Services - Deakin University |
| Michael Williams | 1990 | Accounting Certificate - TAFE ~ Association of Superannuation Funds Australia - Diploma of Financial ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Financial Planning Assocation of Australia ~ Margin Lending & Geared Investments - Kaplan Professional |
| Mylie Linda Johnston | 1997 | Certified Financial Planner - FPA ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia |
| Neal Hornsby | 1985 | Diploma of Financial Services (Financial Planning) - QUANTUM ~ Margin Lending - Financial Education Professionals ~ Master of Business Administration - University of Southern Queensland ~ RG 104 and RG 146 - Diploma Financial Services Financial Planning - Incl-Derivatives and MDA - QUANTUM ~ SMSF and Estate Planning - Mentor |
| Norman Howe | 2004 | ASX Listed Products Accreditation Course - ASX/Savings Factory ~ Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Master of Business Adminstration (Executive) - Australian Catholic University ~ Self Managed Superannuation Funds - Tribeca |
| Paul Anthony Woodward | 2000 | Advanced Diploma of Financial Planning - Integrity Education Group ~ Diploma of Financial Advising - Securities Institute ~ Tier 1 Margin Lending - Personal Advice - Kaplan |
| Peter John O'malley | 2013 | Bachelor of Commerce - Macquaire University ~ Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - University of NSW ~ SMSF SSA Acreditation - SMSF Association |
| Rick Yu-hsueh Peng | 2014 | Diploma of Financial Planning - Intellitrain ~ Managed Investment & Sercurities - Mentor Education ~ Margin Lending - Mentor Education |
| Riley Young | 2004 | Certificate SMSF Course - The University of Adelaide ~ Certificate in Margin Lending - Kaplan ~ Diploma of Financial Planning - Securities Institute Education |
| Robert Farr | 1999 | Bachelor of Business - Kuring-gai College of Advanced Education UTS ~ Chartered Accountant - Chartered Accountants Australia New Zealand ~ Diploma of Financial Planning 1-4 - Financial Planning Assocation of Australia -FPA ~ Margin Lending & Geared Investments - Kaplan Professional ~ SMSF Specialist Adviser - Self-Managed Super Fund Association |
| Robert John Torpy | 1996 | Diploma of Financial Services (Financial Planning) - Integratec |
| Roberto Larrondo | 2011 | Bachelor of Economics - University of Western Sydney ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Master of Applied Finance - Kaplan Professional |
| Roger Singh | 2013 | Diploma Financial Services (Financial Planning) - Securities Institute ~ Diploma Financial Services - Securities Institute |
| Shylea Ulrick | 2005 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Master of Financial Planning - KAPLAN ~ SMSF Specialist Advisor - Self-Managed Super Fund Association |
| Stacy Louise Barnes | 2014 | Bachelor of Business - Accounting - University of Sunshine Coast ~ Bachelor of Financial Planning - University of Sunshine Coast ~ Executive Master of Business Administration - University of Sunshine Coast |
| Stefano Duro | 2012 | Bachelor of Financial Advising - University of Western Sydney ~ Diplomas of Financial Services (financial planning) - TAFE NSW |
| Stephen David Murray | 1983 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca Learning (Australia) |
| Timothy Ching | 2008 | Bachelor of Mathematics and Finance - UTS ~ Graduate Diploma of Financial Planning - FINSIA |
| Toni Lee Porter | 2015 | Adv Dip Financial Planning - Pinnacle ~ Dip Financial Services - Financial Planning - Kaplan |
| Troy Rabaud | 2002 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Principles in SMSFs - International Institute of Technology ~ Risk Management - Integratec ~ Superannuation - Kings International College ~ Taxation Planning - Tribeca |
| William Alexander Brown | 1988 | Estate Planning - Estplan ~ PS 146 Knowledge Assessment - Integratec |