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; 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; and
superannuation;
to retail clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alexander Charles Reed | 2015 | Diploma of Financial Planning FNS50611 - Mentor Education |
| Alfred John Farr | 2017 | Diploma of Financial Planning - Mentor Education |
| Allan Ronald Fraser Wilson | 2005 | Adelaide University - Specialist SMSF ~ Australian Stock Market and Futures Market - The Securities Institute of Australia ~ Bachelor of Econmics - James Cook University ~ Diploma of Financial Planning - Deakin University |
| Andrew Nathan Corrin | 2018 | Accredited Listed Product Adviser Program - Kaplan ~ Accredited Listed Product Adviser Program - Kaplan ~ Advanced Diploma of Financial Services - Kaplan ~ Advanced Diploma of Financial Services - Kaplan ~ DPML Margin Lending - Pinnacle ~ DPML Margin Lending - Pinnacle ~ Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Anish Agarwal | 2015 | Bachelor of Commerce - University of Mumbai ~ Diploma of Financial Planning - Kaplan Professional |
| Anthony Campbell | 2006 | Diploma of Financial Services (Financial Planning) - Kaplan (formerly Tribeca) |
| Anthony Charles Caligari | 2022 | Bachelor of Business (Accountancy) - RMIT ~ Bachelor of Business (Financial Planning) - RMIT |
| Athanasios Arthur Kallos | 2001 | Bachelor of Commerce - University of South Australia ~ Certificate 4 Mortgage Broking - Integrity Education ~ Diploma of Financial Planning - Deakin University ~ Masters of Business Adminsitration - Adelaide University ~ SMSF Accreditation - Integrity Education |
| Bradley George Abbott | 2015 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Australian and New Zealand Institute of Insurance and Finance ~ Margin Lending - Knowledge and Skills - Kaplan Professional ~ SMSF Specialist Advisor Course - Now Infinity |
| Brett James Cruden | 2015 | Advanced Diploma of Financial Planning - TAFE NSW ~ Bachelor of Business - University of Newcastle ~ Diploma of Financial Planning - TAFE NSW ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Carl Jeffery Freshwater | 2015 | Advanced Diploma of Financial Services - Kaplan Professional ~ Bachelor of Business (Business Information Systems) - RMIT ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services - Kaplan Professional ~ Self Managed Superannuation - Kaplan |
| Charlie Abd | 2015 | Advanced Diploma Financial Planning - Kaplan ~ Diploma Financial Planning FNS50611 - Kaplan Australia ~ RG146 Managed Investments & Securities - Kaplan Australia ~ Self Managed Superannuation Funds - Kaplan Australia |
| Christopher Smith | 2017 | Diploma of Financial Planning - Kaplan ~ Managed Investment Advisor - Mentor |
| Clare Shewan | 2016 | Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Advanced Self Managed Super Funds Program - Kaplan Professional Education ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Eroll Lumani | 2018 | Cert 4 Banking Services - RMIT ~ Diploma Financial Planning - RMIT ~ SMSF - Integrity Education |
| Hamish Hugh Mercer Thomson | 2017 | Advanced Diploma in Financial Planning - Kaplan ~ Diploma in Financial Planning - Mentor Education |
| Jake Mathew Taylor | 2017 | Bachelor of Commerce (Finance and Financial Planning) - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan ~ Masters of Financial Planning - Kaplan ~ Self Managed Superannuation - Terra Cordis |
| 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 |
| Leon Volovich | 2003 | Bachelor of Business (Accounting) - Monach University ~ Diploma of Financial Planning - Kaplan Professional |
| Lincoln Haugh | 2012 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Bachelor of Commerce - Monash University ~ Diploma of Finance and Mortgage Broking Management - AAMC Training Group ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Self Managed Superannuation Funds - Mentor Education |
| Lionel John O'mally | 2017 | ASX Listed Products Accreditation Course - LPAC Online ~ Bachelor of Financial Advising - University of Western Sydney ~ Diploma of Financial Planning - Mentor Education Pty Ltd ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
| Marc Joseph Ventura | 2005 | Advanced Diploma - Financial Planning - IIT ~ Diploma - Financial Services - Intellitrain ~ Diploma - Finanial Services - Tribeca Learning Ltd ~ Graduate Certificate - Finance - Kaplan Professional |
| Mason Thomas Thorn | 2018 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - Mentor Education ~ SMSF Adviser (Personal Advice) - Mentor Education |
| Mathew Honey | 2011 | Diploma of Financial Services (Financial Planning) - Kaplan |
| Matthew Mccabe | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Finsia ~ Diploma of Financial Services (Financial Planning) - Finsia ~ Graduate Diploma in Financial Planning - Finsia |
| Mervin Charles Reed | 1994 | Advanced Diploma of Financial Services (Financial Planning) - Australian College of Financial Services ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - Universal Wealth Management ~ Investment Property Advising - Australian College of Financial Services |
| Pajand Roghanchi | 2018 | Bachelor of Commerce - La Trobe University ~ Diploma of Financial Services (Financial Planning) - Investment Banking Institue ~ FNS50310 Diploma of Finance and Mortgate Broking Management - Kaplan |
| Peter Kaleski | 2009 | Diploma BCom - University of Wollongong ~ Graduate Certificate in Financial Planning - finsia ~ Margin Lending & Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Rebecca Guy | 2010 | Bachelor of Business (Financial Planning) - RMIT ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Mananged Superannuation Funds - Kaplan Professional |
| Ryan Addison King | 2016 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Planning - International Institute of Technology ~ Diploma of Financial Planning - International Institute of Technology ~ RG146 Specialist Self Managed Superannuation Funds Course - International Institute of Technology |
| Simran Singh Dhillon | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce (Financial Planning) - Deakin University ~ Diploma of Financial Services (Financial Planning) - Mentor Education / RG146 |
| Son Huynh | 2009 | Advanced Diploma of Financial Planning FNS60404 - Kaplan Professional Education ~ Bachelor of Applied Finance - Macquarie University ~ Bachelor of Economics - Macquarie University ~ Diploma of Financial Planning FNS50804 - International Institute of Technology ~ Self Managed Superannuation Funds - International Institute of Technology |
| Tanya Hoynes | 2017 | Bachelor of Business (Financial Planning) - Royal Melbourne Institute of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Timothy Hock Seong Lee | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Marketing) - Queensland University of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ SMSF - Kaplan |
| Victor Idoko | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Economics with Second Class Honours - University of Western Australia ~ Diploma of Financial Planning - Mentor Education ~ Master of Commerce - University of Western Australia |