This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew Menegas | 2026 | 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2025 - Accredited Listed Product Adviser (ALPA) - Other - Kaplan Professional ~ 2025 - SMSF Regulations and Taxation - Other - Kaplan Professional ~ 2026 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Anish Agarwal | 2015 | 2008 - Bachelor of Commerce (Banking and Insurance) - Bachelor Degree (AQF 7) - University of Mumbai ~ 2008 - Bachelor of Commerce - - University of Mumbai ~ 2012 - Post Graduate Diploma in Business Management - Graduate Diploma (AQF 8) - N. L. Damia Institute of Management Studies and Research ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2025 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2025 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Anthony Campbell | 2006 | 2004 - Diploma of Financial Services (Financial Planning) - - Kaplan (formerly Tribeca) ~ 2025 - Commercial Law - Other - Kaplan Professional ~ 2025 - Tax for Financial Advising - Other - Kaplan Professional |
| Anthony Charles Caligari | 2022 | 2020 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - RMIT ~ 2020 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT |
| Athanasios Arthur Kallos | 2001 | 1999 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of South Australia ~ 2001 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2004 - Masters of Business Adminsitration - - Adelaide University ~ 2019 - Certificate 4 Mortgage Broking - - Integrity Education ~ 2019 - SMSF Accreditation - - Integrity Education ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Ayten Ozder | 2016 | 2016 - FNS50615 Diploma of Financial Planning - - Kaplan Professional ~ 2018 - FNS60415 Advanced Diploma of Financial Planning - - Kaplan Education ~ 2025 - Accredited Listed Product Adviser (ALPA) - Other - Kaplan Professional ~ 2025 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University ~ 2025 - SMSF Regulations and Taxation - Other - Kaplan Professional |
| Craig Leslie Parker | 2004 | 2011 - Advanced Diploma of Financial Services (Financial Planning) - - KAPLAN Professional ~ 2011 - Diploma of Financial Services (Financial Planning) - - KAPLAN Professional ~ 2013 - Cavendish & ICFS Specialist SMSF Course - - The University of Adelaide ~ 2013 - Tier 1 Specialist Margin Lending Course - - International Institute of Technology ~ 2016 - Accredited Derivatives Adviser Level 1 (2012) and Level 2 - - Kaplan Professional ~ 2025 - Accredited Listed Product Adviser - Other - Kaplan Professional |
| Eroll Lumani | 2018 | 2014 - Cert 4 Banking Services - - RMIT ~ 2015 - Diploma Financial Planning - - RMIT ~ 2019 - SMSF - - Integrity Education ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| John Koutsouroupas | 2024 | 2021 - Bachelor of Commerce (Economics & Finance) - Bachelor Degree (AQF 7) - University of Melbourne ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2024 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2024 - SMSF Regulations and Taxation - Other - Kaplan Professional |
| John Ross Cachia | 2009 | 2009 - Diploma - Financial Services - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Bachelor of Business (Financial Risk Management) - Bachelor Degree (AQF 7) - Victoria University |
| Marc Joseph Ventura | 2005 | 2005 - Diploma - Finanial Services - - Tribeca Learning Ltd ~ 2009 - Graduate Certificate - Finance - - Kaplan Professional ~ 2011 - Advanced Diploma - Financial Planning - - IIT ~ 2012 - Diploma - Financial Services - - Intellitrain |
| Mason Thomas Thorn | 2018 | 2017 - SMSF Adviser (Personal Advice) - - Mentor Education ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2018 - Diploma of Financial Planning - - Mentor Education ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University |
| Matthew Ross Hennig | 2018 | 2018 - Diploma of Financial Planning - - Mentor Education ~ 2025 - Accredited Listed Product Adviser (ALPA) - Other - Kaplan Professional ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2026 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2026 - SMSF Regulations and Taxation - Other - Kaplan Professional |