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 | 2014 - Diploma of Financial Planning FNS50611 - - Mentor Education |
| Alfred John Farr | 2017 | 2017 - Diploma of Financial Planning - - Mentor Education |
| Allan Ronald Fraser Wilson | 2005 | 1972 - Bachelor of Econmics - - James Cook University ~ 1988 - Diploma of Financial Planning - - Deakin University ~ 1989 - Australian Stock Market and Futures Market - Other - The Securities Institute of Australia ~ 2013 - Adelaide University - - Specialist SMSF |
| Anish Agarwal | 2015 | 2008 - Bachelor of Commerce - - University of Mumbai ~ 2015 - Diploma of Financial Planning - - Kaplan Professional |
| Anthony Campbell | 2006 | 2004 - Diploma of Financial Services (Financial Planning) - - Kaplan (formerly Tribeca) |
| 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 - - University of South Australia ~ 2001 - Diploma of Financial Planning - - Deakin University ~ 2004 - Masters of Business Adminsitration - - Adelaide University ~ 2019 - Certificate 4 Mortgage Broking - - Integrity Education ~ 2019 - SMSF Accreditation - - Integrity Education |
| Bradley George Abbott | 2015 | 2013 - Diploma of Financial Planning - - Australian and New Zealand Institute of Insurance and Finance ~ 2013 - SMSF Specialist Advisor Course - - Now Infinity ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan ~ 2015 - Margin Lending - Knowledge and Skills - - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Brett James Cruden | 2015 | 2005 - Bachelor of Business - - University of Newcastle ~ 2015 - Diploma of Financial Planning - - TAFE NSW ~ 2016 - Advanced Diploma of Financial Planning - - TAFE NSW ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Christopher Smith | 2017 | 2016 - Diploma of Financial Planning - - Kaplan ~ 2017 - Managed Investment Advisor - - Mentor ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Clare Shewan | 2016 | 2013 - Advanced Self Managed Super Funds Program - - Kaplan Professional Education ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan Professional Education ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Eroll Lumani | 2018 | 2014 - Cert 4 Banking Services - - RMIT ~ 2015 - Diploma Financial Planning - - RMIT ~ 2019 - SMSF - - Integrity Education |
| Hamish Hugh Mercer Thomson | 2017 | 2016 - Diploma in Financial Planning - - Mentor Education ~ 2017 - Advanced Diploma in Financial Planning - - Kaplan |
| 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 |
| John Martin Hintum | 0 | 2020 - Bachelor of Business (Economics and Finance) (Applied) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - 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 |
| Lincoln Haugh | 2012 | 2012 - Advanced Diploma of Financial Services (Financial Planning) - - International Institute of Technology Pty Ltd (IIT) ~ 2012 - Diploma of Financial Services (Financial Planning) - - International Institute of Technology Pty Ltd (IIT) ~ 2013 - Diploma of Finance and Mortgage Broking Management - - AAMC Training Group ~ 2015 - Bachelor of Commerce - - Monash University ~ 2015 - Self Managed Superannuation Funds - - Mentor Education |
| Lionel John O'mally | 2017 | 2015 - Bachelor of Financial Advising - - University of Western Sydney ~ 2016 - Diploma of Financial Planning - - Mentor Education Pty Ltd ~ 2017 - ASX Listed Products Accreditation Course - Other - LPAC Online ~ 2018 - Self Managed Superannuation Fund Adviser (Personal Advice) - Other - Mentor Education ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| 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 |
| Mathew Honey | 2011 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan |
| Matthew Mccabe | 2008 | 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Finsia ~ 2011 - Diploma of Financial Services (Financial Planning) - - Finsia ~ 2011 - Graduate Diploma in Financial Planning - - Finsia |
| Mervin Charles Reed | 1994 | 2005 - Advanced Diploma of Financial Services (Financial Planning) - - Australian College of Financial Services ~ 2005 - Investment Property Advising - Other - Australian College of Financial Services ~ 2008 - Certificate IV in Financial Services (Finance/Mortgage Broking) - Certificate (AQF 1-4) - Universal Wealth Management |
| Pajand Roghanchi | 2018 | 2010 - Bachelor of Commerce - - La Trobe University ~ 2012 - Diploma of Financial Services (Financial Planning) - - Investment Banking Institue ~ 2013 - FNS50310 Diploma of Finance and Mortgate Broking Management - - Kaplan |
| Ryan Addison King | 2016 | 2016 - Advanced Diploma of Financial Planning - - International Institute of Technology ~ 2016 - Diploma of Financial Planning - - International Institute of Technology ~ 2016 - RG146 Specialist Self Managed Superannuation Funds Course - - International Institute of Technology ~ 2017 - Accredited Listed Product Adviser Program - Other - Kaplan Professional |
| Shane Patrick Duff | 2006 | 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - Diploma of Financial Services (Finance/Mortgage Broking Management) - - the National Finance Institute ~ 2015 - ASIC Listed Pridcuts Accreditaiton Course, Certificate of Completion - - LPAC Online |
| Simran Singh Dhillon | 2007 | 2006 - Diploma of Financial Services (Financial Planning) - - Mentor Education / RG146 ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2020 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Deakin University |
| Son Huynh | 2009 | 2010 - Bachelor of Applied Finance - - Macquarie University ~ 2010 - Bachelor of Economics - - Macquarie University ~ 2011 - Diploma of Financial Planning FNS50804 - - International Institute of Technology ~ 2013 - Advanced Diploma of Financial Planning FNS60404 - - Kaplan Professional Education ~ 2016 - Self Managed Superannuation Funds - Other - International Institute of Technology |
| Timothy Hock Seong Lee | 2012 | 2004 - Bachelor of Business (Marketing) - - Queensland University of Technology ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2014 - SMSF - - Kaplan |
| Victor Idoko | 2016 | 2013 - Bachelor of Economics with Second Class Honours - Bachelor Degree (AQF 7) - University of Western Australia ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2016 - Master of Commerce - Masters Degree (AQF 9) - University of Western Australia ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |