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;
derivatives;
foreign exchange contracts;
general insurance 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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products;
miscellaneous financial investment products limited to MDA services;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product 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;
derivatives;
foreign exchange contracts;
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
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;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products;
miscellaneous financial investment products limited to MDA services; and
underwriting:
interests in managed investment schemes; and
an issue of securities;
make a market for the following financial products:
foreign exchange contracts; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Abigail Maria Cowley | 0 | 2022 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University |
| Adam Gellard | 2003 | 2007 - Self Managed Superannuation Funds - - eFinancial Essentials ~ 2008 - Bachelor of Business (Financial Planning) - - RMIT ~ 2009 - Accredited Derivatives Adviser Level 1 Exam - - Kaplan Professional Education ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia |
| Adam Hunter | 2007 | 2006 - Diploma of Financial Markets - - FINSIA ~ 2007 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Andrew Guy Jeffery | 1987 | 2002 - PS146 Compliance Program - Superannuation Module - - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - Tier 1 Adviser Compliance Solution Specialist Knowledge - Derivatives - - Securities Institute Education ~ 2014 - Foreign Exchange Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2015 - Accredited Derivatives Adviser Level 1 - ADA1 - - Stockbrokers Association of Australia / DeakinPrime |
| Andrew James Falk | 2001 | 2002 - Diploma of Financial Markets - - Securities Institute Education ~ 2005 - ASX Accredited Derivatives Adviser Level 1 - - Tribeca ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Andrew James Oswald | 2011 | 2004 - Bachelor of Commerce (Finance)/ Bachelor of Science - - Deakin University ~ 2007 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2008 - Accredited Derivatives Adviser Level 1 - - Kaplan Education Pty Ltd ~ 2011 - Accredited Derivatives Adviser Level 2 - - Kaplan Education Pty Ltd ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Andrew Jon Blunt | 1996 | 2001 - Diploma of Financial Markets - - Securities Institute Education ~ 2001 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2010 - Margin Lending Accreditation Program - - Stockbroker Association of Australia / DeakinPrime |
| Andrew Joseph Mccarthy | 1988 | 2002 - PS146 Compliance Program - Managed Investments; Securities; Generic & Financial Planning Modules - - Securities Institute Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd ~ 2012 - Accredited Derivatives Adviser Level 1 - - Kaplan Education Pty Ltd |
| Andrew Lappan | 2013 | 2004 - Bachelor of Business (Accounting) - - Australian Catholic University ~ 2009 - Graduate Certificate of Financial Planning - - Financial Services Institute of Australiasia ~ 2013 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2013 - Margin Lending Accreditation - - Kaplan Professional Education ~ 2014 - Accredited Derivatives Adviser Level 1 & 2 - - Deakin University |
| Andrew Ridpath Gartrell | 1994 | 1990 - Bachelor of Economics - - Flinders University of South Australia ~ 1993 - Graduate Diploma in Applied Finance & Investment - - Securities Institute of Australia ~ 2002 - Investment Planning 1 - - Integratec (Aust.) Pty Ltd ~ 2004 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Andrew Sze YI Tan | 2007 | 1996 - Bachelor of Commerce - - University of Queensland ~ 1999 - Bachelor of Laws - - University of Queensland ~ 2006 - Graduate Diploma of Applied Finance & Investment - - FINSIA ~ 2007 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Andrew Terence Hough | 2007 | 2005 - Bachelor of Business (Economics & Management) - - Queensland University of Technology ~ 2007 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2008 - ASX Accredited Derivatives Adviser Level 1 - - Kaplan Education Pty Ltd ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Superannuation Accreditation Program - - Stockbroker Association of Australia / DeakinPrime |
| Andrew Thomas Gladman | 1997 | 2001 - Graduate Diploma in Applied Finance & Investment - - Securities Institute of Australia ~ 2001 - Level 1 & 2 Accredited Derivatives Adviser - - ASX ~ 2006 - RMIT/SDIA Managed Investments Module - - RMIT University ~ 2008 - Master of Applied Finance and Investment - Masters Degree (AQF 9) - FINSIA ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Andrew Vernon Bosman | 2010 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Education ~ 2011 - ASX Accredited Derivatives Adviser Level 1 - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - ASX Accredited Derivatives Adviser Level 2 - - Kaplan Professional Education |
| Anthony Heazlewood | 2007 | 2006 - Bachelor of Commerce/ Bachelor of Economics - - University of Tasmania ~ 2008 - Accredited Derivatives Adviser - Level 1 - - Kaplan Professional Education ~ 2009 - Accredited Derivatives Adviser - Level 2 - - Kaplan Professional Education ~ 2009 - Tier 1 Compliance Program Assessment - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Atika Brown | 1998 | 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2005 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Banjo Travers | 0 | 2019 - Bachelor of Economics - Bachelor Degree (AQF 7) - The University of Sydney ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Beauregard Harrison Gerard | 2016 | 2014 - Bachelor of Business (Marketing) - - Griffith University ~ 2014 - Bachelor of Commerce (Finance) - - Griffith University ~ 2016 - Professional Diploma in Stockbroking - - Deakin Prime ~ 2020 - Ethics and Professional Relationships - Bridging Course - Ethics - QUT ~ 2021 - Margin Lending Accreditation Program - Other - SAFAA / Kaplan Professional |
| Bede Charles Donnelly | 2011 | 2010 - Diploma of Financial Services (Fin. Plan) - - MLC/GWM Adviser Services |
| Bradley Charles Ogg | 1999 | 1998 - Diploma in Financial Markets - - Securities Institute of Australia ~ 2002 - Accredited Derivatives Adviser Level 2 - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Bradley John Shallard | 1995 | 1997 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) ~ 1999 - Graduate Diploma in Applied Finance & Investments - - Securities Institute ~ 2002 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending Accreditation Program - - Kaplan Education Pty Ltd |
| Brendan James Hawe | 1997 | 1985 - Graduate Diploma in Accounting and Finance - - Monash University ~ 2006 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2007 - Level 1 & 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2014 - Professional Diploma in Stockbroking - - Stockbroker Association of Australia / DeakinPrime |
| Brett Robert Mclaurin | 2009 | 2007 - Bachelor of Commerce - - Bond University ~ 2007 - Graduate Diploma of Financial Planning - - FINSIA ~ 2009 - ASX Accredited Derivatives Adviser Level 1 & 2 - - Kaplan Education Pty Ltd ~ 2009 - Financial Services Tier 1 Compliance Program - Generic; Skills; Securities; Derivatives; Managed Inv - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Brian Mallon | 2004 | 1997 - Graduate Diploma in Applied Finance & Investment - - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association ~ 2002 - Superannuation Module - - Securities Institute Education ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia |
| Broderick Foxwell | 2016 | 2012 - Bachelor of Business (Banking and Finance/International Trade) - - Victoria University ~ 2015 - Core 1 Securities & Managed Investments Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime |
| Bruce Cameron Skelton | 1985 | 2002 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - Stockbrokers Association of Australia / DeakinPrime ~ 2003 - ASX Broker Exam - - Securities Institute Education ~ 2003 - Certificate in Financial Markets - - Securities Institute Education ~ 2011 - Margin Lending Accreditation Program - - Kaplan Education Pty Ltd |
| Catherine Cohen | 2018 | 2018 - Core 1 Securities & Managed Investments Accreditation Program - - Stockbrokers & Financial Advisers Association Ltd / DeakinCo ~ 2021 - Graduate Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional |
| Cezary Prus | 2001 | 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2005 - ADA2 - - ASX ~ 2005 - Graduate Diploma of Applied Finance and Investment - - The Securities Institute of Australia ~ 2010 - Margin Lending - - Stockbrokers Association of Australia |
| Charles Bartell | 1995 | 1984 - CPA - - Aust. Society of CPA ~ 2002 - PS146 Compliance Program - Superannuation Module - - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2008 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia |
| Charles Craven | 2012 | 2009 - Bachelor of Commerce (Corp. Fin) - - University of Adelaide ~ 2014 - Accredited Derivatives Adviser Level 1 & 2 - - Stockbroker Association of Australia / DeakinPrime ~ 2014 - SAA Professional Diploma in Stockbroking - - Stockbroker Association of Australia / DeakinPrime ~ 2015 - Margin Lending / Superannuation Accreditation Programs - - Stockbroker Association of Australia / DeakinPrime ~ 2015 - Master of Applied Finance - - Macquarie University |
| Charles Edward Bell | 2011 | 2008 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Charles Faulkner | 2023 | 2018 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - RMIT ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Christian Carter | 2002 | 2003 - Diploma of Financial Markets - - Securities Institute Education ~ 2003 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association ~ 2003 - Superannuation - - Royal Melbourne Institute of Technology Business TAFE School ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia ~ 2015 - ADA2 Level 2 - - Kaplan Professional Education |
| Christian Kurt Gosper | 2003 | 1994 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute Education ~ 2004 - SDIA Accreditation Program - Other - Securities & Derivatives Industry Association ~ 2005 - Superannuation - Other - Royal Melbourne Institute of Technology Business TAFE School ~ 2010 - Margin Lending Accreditation - Other - Stockbrokers Association of Australia ~ 2014 - Accredited Derivatives Adviser Level 2 - Other - Kaplan |
| Christian Zerovich | 2004 | 1998 - Bachelor of Commerce - - Curtin University ~ 2001 - Graduate Diploma in Applied Finance & Investment - - Securities Institute ~ 2013 - Diploma of Financial Planning - - Monarch Institute ~ 2014 - Advanced Diploma of Financial Planning - - Monarch Institute ~ 2016 - Superannuation Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime |
| Christopher Watt | 2018 | 2016 - Bachelor of Commerce (Accounting / Finance) - - Monash University ~ 2018 - Accredited Derivatives Adviser Level 1 - - Stockbrokers & Financial Advisers Association Ltd / Western Sydney Uni ~ 2021 - 2021-2 CFPC - Certificate (AQF 1-4) - Financial Planning Association of Australia ~ 2022 - Margin Lending Accreditation Program - Other - SIAA / Kaplan Professional |
| Craig Sharpe | 1997 | 1994 - Bachelor of Business (Economics & Finance) - - Deakin University ~ 2005 - Masters of Business Administration - - Macquarie University ~ 2014 - Accredited Derivatives Adviser Level 2 - - Kaplan Professional Education ~ 2017 - Managed Investments Accreditation Program - - Stockbrokers Association of Austrlia / DeakinPrime |
| Craig Stewart Clark | 2000 | 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Superannuation Accreditation Program - - Stockbroker Association of Australia / DeakinPrime |
| Daniel James Bergman | 2014 | 2013 - Diploma of Financial Planning - - Integrity Education Group Pty Ltd ~ 2014 - ADA1 Level 1 - - Kaplan Education Pty Ltd ~ 2014 - Margin Lending Accreditation Program - - Stockbroker Association of Australia / DeakinPrime |
| Daniel Tony Foster | 2005 | 2005 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2006 - ASX Accredited Derivatives Adviser Level 1 - - Tribeca ~ 2007 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2008 - ASX Accredited Derivatives Adviser Level 2 - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| David Alexander Thornborough | 2012 | 2008 - Tier 2 Compliance Solution - - FINSIA ~ 2013 - Generic; Securities & Skills; Superannuation & Skills - - Kaplan Education Pty Ltd ~ 2014 - Accredited Derivatives Adviser Level 1 & 2 - - Stockbrokers Association of Australia / DeakinPrime ~ 2014 - Managed Investments Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2015 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime |
| David Andrew Seton Humble | 2001 | 2002 - Entry Level Competencies - - Integratec Paraplanning Pty Ltd ~ 2002 - Risk Management - - Integratec Paraplanning Pty Ltd ~ 2004 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2005 - ASX Accredited Derivatives Adviser Level 1 & 2 - - Tribeca Learning (Aust) Pty Ltd ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| David Anthony Tehan | 1998 | 1999 - Bachelor of Business - - RMIT ~ 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| David Curnow | 2000 | 1997 - Bachelor of Commerce - - University of Western Australia ~ 1998 - Graduate Diploma in Applied Finance & Investment - - Securities Institute of Australia |
| David Lyons | 2007 | 2007 - Level 1&2 Accredited Derivatives Adviser - - ASX ~ 2007 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd ~ 2015 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia / DeakinPrime ~ 2015 - Superannuation Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime |
| David Zheng DU | 2006 | 1998 - Master of Applied Finance - - University of Melbourne ~ 2006 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2007 - ASX Accredited Derivatives Adviser Level 1 - - Tribeca ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Davin John West | 2000 | 1995 - Financial Planning - - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - ASX Accredited Derivatives Adviser Level 2 - - ASX ~ 2005 - RMIT / SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Dean James Surkitt | 1986 | 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2010 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Dean Rogan Park | 1997 | 1994 - Bachelor of Economics (Politics) (Honours) - - La Trobe University ~ 1997 - Graduate Diploma of Applied Finance and Investment - - FINSIA ~ 2019 - Superannuation Accreditation Program - - Stockbrokers & Financial Adviser Association Ltd / Western Sydney Uni |
| Douglas Trevor Perkins | 1992 | 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2003 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Dwight Ian Phillips | 2004 | 2002 - Accredited Derivatives Adviser Level 1 - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd ~ 2012 - Superannuation Accreditation Program - - Kaplan Education Pty Ltd |
| Edmund Huat Meng Wong | 2007 | 2007 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2009 - ADA1 - - KAPLAN ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Superannuation - - Stockbrokers Association of Australia |
| Edward James Hoyle | 0 | 2018 - Bachelor of Business - Bachelor Degree (AQF 7) - Monash University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Edward Richardson Purseglove | 1995 | 1999 - Graduate Diploma in Applied Finance and Investment - - Securities Institute Education ~ 2002 - Managed Investments & Superannuation Module - - Securities Institute Education ~ 2003 - ASX Broker Exam - - Securities Institute Education ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia |
| Elliot Joseph Moffatt | 2012 | 2012 - Bachelor of Commerce - - Bond University ~ 2013 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia ~ 2015 - Accredited Derivatives Adviser - Level 1 - - Kaplan Education Pty Ltd |
| Evan Michael Kakulas | 1983 | 1999 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2002 - PS146 Compliance for Stockbrokers - - Securities Institute ~ 2003 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Gabriel David Sanders | 2008 | 2006 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2007 - ADA1 - - Tribeca ~ 2007 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2008 - ADA2 - - KAPLAN ~ 2010 - Margin Lending - - Stockbrokers Association of Australia |
| Geoff Hui | 1998 | 1976 - Bachelor of Economics - - University of Sydney ~ 2001 - Accredited Derivatives Adviser Level 2 - - Australian Stock Exchange ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2015 - Managed Investments - - Kaplan |
| Geoff Oaten | 1991 | 1970 - Bachelor of Commerce - - University of Melbourne ~ 1994 - Graduate Diploma in Applied Finance and Investment - - Securities Institute of Australia ~ 1998 - Level One Accredited Derivatives Adviser - - ASX Derivatives Division ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional |
| George Millroy | 2018 | 2017 - Core 1 Securities & Managed Investments Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2018 - Margin Lending Accreditation Program - - Stockbrokers & Financial Advisers Assocation Ltd / DeakinCo ~ 2018 - Professional Diploma in Stockbroking - Diploma (AQF 5) - SAFAA / DeakinCo. ~ 2021 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - Queensland University of Technology |
| Giuliano Robert Sala Tenna | 2010 | 1997 - Bachelor of Commerce (Economics & Finance) - - Curtin University ~ 2002 - Graduate Diploma in Financial Planning - - FINSIA ~ 2011 - Accredited Derivatives Adviser Level 1 - - Kaplan Education Pty Ltd ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Gregory John Parish | 2004 | 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Gregory Maurice Pinkus | 2004 | 2001 - Accredited Derivatives Adviser Level 2 - - ASX ~ 2002 - PS146 Compliance Program - Generic; Securities/Futures; Managed Investments - - Securities Institute Education ~ 2003 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Gregory Mcpherson | 1989 | 2002 - Accredited Derivatives Adviser Level 2 - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2003 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Gregory Santo Nucifora | 2000 | 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2004 - Accredited Derivatives Adviser Level 2 - - ASX ~ 2005 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Guy Carlton Lenzner | 2009 | 2010 - Master of Applied Finance - - Kaplan Education Pty Ltd ~ 2011 - Accredited Derivatives Adviser Level 1 & 2 - - Kaplan Education Pty Ltd ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Guy Lance Jones | 1985 | 1985 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Queensland ~ 2002 - PS146 Compliance Program - Financial Planning - - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Hannah Mary Gordon Robertson | 0 | 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Harry Sydney John Allen | 2018 | 2016 - Bachelor of Commerce (Finance; Economics & Financial Planning) - - Deakin University |
| Helen Mary Bourke | 2007 | 2007 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2010 - Margin Lending - - Stockbrokers Association of Australia |
| Henry Hall | 2018 | 2018 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - Deakin University ~ 2018 - Core 1 Securities & Managed Investments Accreditation Program - - Stockbrokers & Financial Advisers Assocation Ltd / DeakinCo ~ 2018 - Margin Lending Accreditation Program - - Stockbrokers & Financial Advisers Association Ltd / Western Sydney Uni ~ 2018 - Superannuation Accreditation Program - Other - Stockbrokers & Financial Advisers Association Ltd / Western Sydney Uni |
| Hugh Richard Laidley Dowling | 1992 | 1998 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2004 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Ian Robert Rosenberg | 1972 | 1992 - Financial Planning Certificate Course - - CPA ~ 2001 - Accredited Derivatives Adviser Level 1 - - ASX ~ 2003 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd ~ 2014 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia / DeakinPrime |
| Ingrid Maryke Vanderwerff | 1986 | 2001 - ASX Accredited Derivatives Adviser Level 2 - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| James Anthony Frolley | 1991 | 1998 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| James Broomhead | 2006 | 2004 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2004 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| James Carl Ramsay | 2007 | 2007 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2007 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2008 - Accredited Derivatives Adviser Level 1 - - Kaplan Education Pty Ltd ~ 2008 - Accredited Derivatives Adviser Level 2 - - Kaplan Education Pty Ltd ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| James Constantine Drougas | 1999 | 2001 - ASX Broker Exam - - Securities Institute Education ~ 2002 - PS146 Compliance Program - - Securities Institute Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| James Shepherdson | 2004 | 1998 - Level 1 & 2 Accredited Derivatives Adviser - - ASX ~ 2002 - Bachelor of Business (Economics & Finance) - - RMIT ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending Accreditation Program - - Kaplan Education Pty Ltd |
| Janice Suk Yee Lai | 2002 | 1999 - Diploma of Financial Markets - - Securities Institute of Australia ~ 2000 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2001 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Jeremy Michael Tyzack | 2013 | 2007 - Bachelor of Commerce (Finance / Financial Planning) - - Deaking University ~ 2010 - Graduate Diploma of International Finance - - Deakin University ~ 2015 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime |
| John Addison Doughty | 1987 | 1991 - Certificate Course - - Securities Institute of Australia ~ 1999 - Level 1 & 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2014 - Core 1 Securities & Managed Investments Accreditation Program - - SAA / Deakin University |
| John Anderson | 2016 | 2016 - Core 1: Securities & Managed Investments Accreditation - - Stockbrokers Association of Australia / DeakinPrime ~ 2017 - Diploma of Financial Planning (FNS50615) - - Integrity Education Group ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| John Andrew White | 1990 | 2002 - PS146 Compliance Program - Superannuation; Financial Planning - - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - ASX Accredited Derivatives Adviser Level 2 - - ASX ~ 2010 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| John Francis Wilson | 1997 | 1998 - Graduate Diploma in Applied Finance & Investmment - - Securities Institute Education ~ 2001 - ASX Accredited Derivatives Adviser Level 1 - - ASX ~ 2002 - ASX Accredited Derivatives Adviser Level 2 - - ASX ~ 2002 - PS146 Compliance Program - Managed Investments - - Securities Institute Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| John Gerard Curtin | 1999 | 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2006 - ADA2 - - ASX ~ 2010 - Margin Lending - - Stockbrokers Association of Australia |
| John Richard Reynolds | 1994 | 2002 - Accredited Derivatives Adviser Level 1 - - ASX ~ 2002 - PS146 Compliance Program - Superannuation; Financial Planning - - Securities Institute Education ~ 2003 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| John Stuart Fredersdorff | 1994 | 1998 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2014 - Professional Diploma in Stockbroking - - Stockbroker Association of Australia / DeakinPrime |
| John Tasman Andrew | 2003 | 2005 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Jonathan Eric Frederick Matsen | 2003 | 2002 - PS146 Superannuation Module - - Securities Institute of Australia ~ 2002 - SDIA Accreditation - Securities, Futures, Managed Investments - - Deakin Prime ~ 2004 - ASX Accredited Derivatives Adviser Program - - Australian Financial Markets Association ~ 2005 - Accredited Derivatives Adviser: Level 1 - - Tribeca ~ 2006 - Accredited Derivatives Adviser Level 2 - - Tribeca |
| Jonathan Kallmeyer | 2003 | 2003 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2005 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Joshua James Edney | 1996 | 1997 - Graduate Diploma of Applied Finance & Investment - - Securities Institute of Australia ~ 2001 - Level 1 & 2 Accredited Derivatives Adviser - - ASX ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Julia Jane Murray | 2001 | 1999 - Diploma in Financial Markets - - Securities Institute of Australia ~ 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2004 - Accredited Derivatives Adviser Level 1 - - ASX ~ 2011 - ASX Accredited Derivatives Adviser Level 2 - - Kaplan Education Pty Ltd ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Julian Anthony Farley | 2010 | 2006 - Entry Level Competencies - - Tribeca ~ 2008 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Kellie Margaret Davies | 2008 | 2005 - Diploma of Financial Planning - - Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Kerri Lynne Stevens | 1998 | 1998 - ASX Accredited Derivatives Adviser Level 1 - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - RMIT / SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending Accreditation Program - - Kaplan Education Pty Ltd |
| Lachlan Mckay Carroll | 0 | 2020 - Bachelor of Arts, Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University ~ 2021 - Ethics and Professionalism in Financial Advice - Other - Kaplan Professional |
| Lawrence Peter Bartell | 2012 | 2009 - Diploma of Financial Services 2 - - Kaplan Professional Education ~ 2010 - Margin Lending Accreditation Program - - Stockbroker Association of Australia / DeakinPrime ~ 2014 - Accredited Derivatives Advser - Level 1 - - Stockbroker Association of Australia / DeakinPrime ~ 2015 - Accredited Derivatives Adviser Level 2 - ADA2 - Other - Deakin Prime and SAA ~ 2022 - Graduate Diploma in Stockbroking and Financial Advising - Graduate Diploma (AQF 8) - Western Sydney University |
| Lionel Alexander Mcfadyen | 1985 | 2002 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Louis Salamon | 1997 | 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association ~ 2002 - Superannuation Module - - Securities Institute Education ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia |
| Louisa Maree Swain | 2016 | 2015 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia / DeakinPrime ~ 2016 - Accredited Derivatives Adviser - Level 1 & 2 - - Stockbrokers Association of Australia / DeakinPrime ~ 2016 - Superannuation Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime |
| Luke Stewart Cameron | 1999 | 2000 - Bachelor of Business (International Business) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2002 - PS146 Compliance Program - Financial Planning - - Securities Institute Education ~ 2002 - PS146 Compliance Program - Superannuation - - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Luke Thomas Hutchison | 1995 | 1994 - Graduate Diploma of Applied Finance & Investment - - Securities Institute ~ 2001 - PS146 Statement of Compliance - Securities/Futures & Generic/Managed Investments - Other - Securities Institute ~ 2002 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Luke Urban Pereira | 0 | 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Malcolm Reid | 1999 | 1998 - Accredited Derivatives Adviser Level 2 Exam - - Australia Stock Exchange ~ 2000 - Diploma of Financial Markets - - Securities Institute Education ~ 2004 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Marc Jukes | 0 | 1995 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 1998 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute of Australia |
| Marcus Pringle-jones | 2012 | 2008 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2009 - Accredited Derivatives Adviser Level 1 - - ASX ~ 2010 - Core 1 Securities & Managed Investments Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2012 - Accredited Derivatives Adviser Level 2 - - Kaplan Education Pty Ltd |
| Mark Andrew Fisher | 1986 | 2002 - PS146 Compliance Program - Superannuation - - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Mark Charles Paterson | 2015 | 2011 - Margin Lending & Geared Investments - - Kaplan Education Pty Ltd ~ 2015 - Core 1 Securities & Managed Investments Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime |
| Mark Colin Walker | 1995 | 1998 - Graduate Diploma in Applied Finance & Investment - - Securities Institute ~ 2001 - ASX Accredited Derivatives Adviser Level 2 - - ASX ~ 2005 - RMIT / SDIA Managed Investments Module - - RMIT University ~ 2005 - RMIT / SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Mark Gerard Edwards | 1993 | 2000 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Mark Kelly | 1998 | 2002 - SDIA Accreditation Program - - SDIA |
| Mark Raymond Winnell | 2006 | 2003 - Self Managed Superannuation Funds - - Financial Planning Association of Australia ~ 2004 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2010 - Accredited Derivatives Adviser Level 2 Exam - - Kaplan Professional Education ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia |
| Marshall Biggins | 1994 | 2002 - SDIA Accreditation Program Assessment - Securities, Futures Markets and Managed investments - - Securities and Derivatives Industry Association ~ 2007 - Accredited Derivatives Adviser Level 2 - - Tribeca |
| Martyn Jeffrey Rose | 2000 | 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association ~ 2003 - Superannuation Module - - Royal Melbourne Institute of Technology Business TAFE School ~ 2008 - Accredited Derivatives Adviser - Level 1 - - ASX / Kaplan ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia |
| Matthew Bates | 2001 | 1995 - Bachelor of Business Property (Vals) - - RMIT University ~ 2001 - Graduate Diploma in Finance and Investment - - finsia |
| Matthew Carr-jones | 2017 | 2013 - Bachelor of Laws / Bachelor of Commerce - - The University of Western Australia ~ 2015 - Core 1 Securities & Managed Investments Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2018 - Margin Lending Accreditation Program - - Stockbrokers & Financial Advisers Association Ltd / Western Sydney Uni |
| Matthew James Farr | 1991 | 2002 - ASX Broker Exam - - ASX ~ 2002 - PS146 Compliance Program - Superannuation module - - Securities Institute Education ~ 2005 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2010 - Professional Diploma in Stockbroking - - Stockbroker Association of Australia / DeakinPrime |
| Matthew Justin Carey | 2006 | 2006 - ASX Accredited Derivatives Adciser Level 1 - - Tribeca ~ 2007 - ASX Accredited Derivatives Adviser Level 2 - - Tribeca ~ 2011 - Margin Lending & Geared Investments - - Kaplan ~ 2013 - 927 Foreign Exchange - - Kaplan ~ 2013 - Graduate Certificate in Applied Finance - - Kaplan |
| Melanie Sarah Burrows | 2008 | 2008 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Michael Alexander Grant | 1987 | 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Michael Argyrou | 2015 | 2007 - ADA Level 1 - - Tribeca ~ 2007 - Graduate Diploma of Applied Finance and Investment - - Kaplan ~ 2008 - Superannuation Accreditation - - RMIT University |
| Michael Graham Boone | 2007 | 2006 - Bachelor of Business (Accounting & Finance) - - Swinburne University ~ 2007 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2008 - ASX Accredited Derivatives Adviser Level 1 - - Kaplan Professional Education ~ 2009 - ASX Accredited Derivatives Adviser Level 2 - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Michael Kinsley Sim | 2004 | 1983 - Bachelor of Economics - - Monash University ~ 2001 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending Accreditation Program - - Kaplan Education Pty Ltd |
| Michael Rosenbaum | 1998 | 1990 - Bachelor of business banking and finance - - Monash University ~ 1990 - Bachelor of business – banking and finance - - Monash University ~ 1994 - MBA - - University of Hartford USA ~ 1995 - Diploma of Financial Planning - - Financial Planning Association (FPA) ~ 1998 - Graduate Diploma in Applied Finance & Investment - - Securities Institute ~ 2011 - Margin Lending - - KAPLAN |
| Michelle Catherine Grover | 2002 | 2002 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2002 - PS146 Compliance Program - Financial Planning & Superannuation - - Securities Institute of Australia ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2004 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Nathan Huang Sugianto | 2018 | 2014 - Bachelor of Commerce (Corporate Finance) - - The University Of Western Australia ~ 2015 - Core 1 Securities & Managed Investments Accreditation Program - - Stockbrokers Assocation of Australia / DeakinPrime |
| Nicholas Johnston | 2015 | 2009 - Bachelor of Business (Economics & Finance) - - Swinburne University of Technology ~ 2015 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2015 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia / DeakinPrime |
| Nigel Martin Stewart | 2016 | 2009 - Core 1 Securities & Managed Investments Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2011 - Accredited Derivatives Adviser Level 1 - - Stockbrokers Association of Australia / DeakinPrime |
| Pasquale DE Petro | 1996 | 1993 - Certificate in Financial Markets - - Securities Institute Education ~ 2002 - Accredited Derivatives Adviser - - ASX / Tribeca ~ 2002 - Superannuation Module - - Securities Institute Education ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia |
| Patrick Francis Cody | 1991 | 1999 - Level 1 & 2 Accredited Derivatives Adviser - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Paul Francis Hodder | 2004 | 1999 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of South Africa ~ 2003 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2004 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2005 - ASX Accredited Derivatives Adviser Level 2 - - Tribeca Learning (Aust) Pty Ltd ~ 2005 - RMIT/SDIA Superannuation Module - - RMIT University |
| Paul Gavin Cochrane | 1997 | 1991 - Bachelor of Commerce - - University of Melbourne ~ 1999 - Graduate Diploma of Applied Finance & Investment - - Securities Institute of Australia ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2007 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Paul Mark Voglis | 1987 | 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - RMIT / SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Perry Julian Rosenzweig | 1995 | 1995 - Graduate Diploma in Applied Finance & Investment - - Securities Institute of Australia ~ 2001 - Accredited Derivatives Adviser Level 2 - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Peter Colin Cuthbertson | 2000 | 1998 - Graduate Diploma in Applied Finance & Investment - - Securities Institute of Australia ~ 2007 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2007 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2014 - Managed Investments Accreditation Program - - SAA / DeakinPrime |
| Peter Edward Mulcahy | 1977 | 2002 - PS146 Compliance Program - Financial Planning - - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2004 - Accredited Derivatives Adviser Level 2 - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Peter Hull Smith | 1985 | 2002 - SDIA Accreditation Program Assessment - Other - Securities & Derivatives Industry Association ~ 2003 - Superannuation Module - Other - Royal Melbourne Institute of Technology Business TAFE School ~ 2010 - Margin Lending Accreditation Program - Other - Stockbrokers Association of Australia |
| Peter John Magor | 1996 | 2002 - Diploma of Financial Markets - - Securities Institute of Australia ~ 2003 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2011 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Peter Stawski | 1986 | 2001 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending Accreditation Program - - Kaplan Education Pty Ltd |
| Philip Anthony Clough | 2003 | 1995 - Bachelor of Business (Finance & Marketing) - - University of Technology, Sydney ~ 2002 - PS146 Compliance Program - Superannuation and Financial Planning modules - - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Richard Anthony Charles Youren | 1990 | 2002 - ASX Accredited Derivatives Adviser Level 1 - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Ricky Vecchio | 1997 | 1998 - ASX Accredited Derivatives Adviser Level 1 - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2005 - ASX Accredited Derivatives Adviser Level 2 - - Tribeca ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Robert Charles Hussey | 2007 | 2006 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2010 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd ~ 2017 - ASX Accredited Derivatives Adviser Level 2 - - Stockbrokers Association of Australia / DeakinPrime ~ 2017 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Robert Craig Agnew | 1986 | 1989 - Bachelor of Economics - - Monash University ~ 2001 - Paraplanning Course - - Integratec Paraplanning Pty Ltd ~ 2002 - Accredited Derivatives Adviser - Level 1 & 2 - - ASX ~ 2002 - Investment Planning 1 - - Integratec Paraplanning Pty Ltd ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional Education |
| Robert Granger | 1993 | 2016 - Licensing Training of Financial Product Advisers - - Financial Education Professionals Pty Ltd |
| Robert Holle | 1997 | 1997 - Master of Business Administration - - Bond University ~ 1998 - Accredited Derivatives Adviser Level 2 Exam - - Australian Stock Exchange ~ 2001 - Graduate Diploma in Applied Finance and Investment - - Securities Institute Education ~ 2002 - Managed Investments & Superannuation Module - - Securities Institute Education ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia (SAA) |
| Robert Louis Joseph | 2005 | 2004 - Diploma of Financial Services - - Securities Institute ~ 2004 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2005 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2008 - Bachelor of Business (Economics & Finance) - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Robert Norman Denton | 1994 | 2000 - ADA1 - - ASX ~ 2000 - ADA2 - - ASX ~ 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2003 - RMIT/SDIA Superannuation Module - - RMIT/SDIA ~ 2010 - Margin Lending - - Stockbrokers Association of Australia |
| Robert Spencer Clarke | 1993 | 2002 - ASX Accredited Derivatives Adviser - Level 1 - - ASX ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2014 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia |
| Robert Teal | 1993 | 1988 - Bachelor of Commerce - - University of Melbourne ~ 1996 - Graduate Diploma in Applied Finance and Investment - - Securities Institute |
| Rowan Gray Fell | 1995 | 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2004 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2005 - ASX Accredited Derivatives Adviser Level 2 - - Tribeca ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2014 - SAA Professional Diploma in Stockbroking - - Stockbroker Association of Australia / DeakinPrime |
| Ryan Newman Marriott | 2006 | 2001 - Graduate Diploma in Applied Finance & Investment - - Securities Institute of Australia ~ 2003 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2004 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2010 - Financial Services Tier 1 Compliance Program - Managed Investments - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Sally Keyes | 1996 | 1977 - Bachelor of Economics - - University of Sydney ~ 2002 - SDIA Accreditation Program (PS146) - - SDIA |
| Samuel Julian Forbes Young | 1998 | 1999 - Diploma of Financial Markets - - Securities Institute of Australia ~ 2001 - ASX Accredited Derivatives Adviser Level 1 - - ASX ~ 2006 - RMIT / SDIA Managed Investments Module - - RMIT University ~ 2010 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Samuel Philip Croll | 2000 | 2002 - PS146 Compliance Program - Managed Investments Module - - Securities Institute Education ~ 2004 - Graduate Diploma of Applied Finance & Investment - - Securities Institute Education ~ 2004 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2011 - Accredited Derivatives Adviser Level 2 - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Sandra Michele Tuddenham | 1997 | 1998 - ADA1 - - ASX ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2012 - Diploma of Business - - Blended Learning International |
| Scott Michael Rimington | 2004 | 2002 - PS146 Compliance Program - Superannuation; Financial Planning - - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Stephen Robert Waller | 2000 | 2002 - PS146 Gap Training - Superannuation & Retirement Income - - Securities Institute ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2017 - Advanced Diploma of Financial Planning - - Mentor Education |
| Steve Tourtsakis | 2016 | 2012 - Core 1 Securities & Managed Investments Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2014 - Accredited Derivatives Adviser Level 1 - - Stockbrokers Association of Australia / DeakinPrime ~ 2015 - Superannuation Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime |
| Steven John Wright | 2005 | 1992 - Diploma of Sport Science - - Bolton College ~ 2007 - Tier 1 Compliance Program (Generic & Derivatives) - - FINSIA ~ 2007 - Tier 1 Compliance Program - Derivatives - - FINSIA Eduction ~ 2015 - Margin Lending Accreditation - - Deakin/ SAA ~ 2015 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia / DeakinPrime |
| Steven Mitsioulis | 1999 | 2002 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2004 - Accredited Derivatives Adviser Level 1 - - ASX ~ 2005 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Stolle Sergis | 1994 | 1991 - Bachelor of Business - - University of Technology, Sydney ~ 1994 - Graduate Diploma in Applied Finance & Investment - - The Securities Institute of Australia ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2005 - Level 2 Accredited Derivatives Adviser - - ASX ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime |
| Stuart Lindsay Cameron | 1987 | 2002 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2002 - SDIA Accreditation Program - - SDIA / Deakin University ~ 2003 - RMIT / SDIA Superannuation Module - - RMIT University ~ 2010 - Margin Lending Accreditation Program - - Stockbroker Association of Australia / DeakinPrime ~ 2014 - Foreign Exchange Accreditation Program - - Stockbroker Association of Australia / DeakinPrime |
| Timothy Harbort | 2014 | 2004 - Bachelor of Business - - Queensland University of Technology ~ 2011 - Accredited Derivatives Adviser - Level 1&2 - - Kaplan Education Pty Ltd ~ 2014 - Foreign Exchange Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2014 - Margin Lending Accreditation Program - - Stockbroker Association of Australia / DeakinPrime ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Timothy John Weber | 1989 | 1989 - Australian Certified Investment Planner - - Australian Investment Planners Association ~ 1999 - Diploma in Financial Markets - - FINSIA Education ~ 2002 - PS146 Compliance Program - - FINSIA Education ~ 2011 - Margin Lending & Geared Investments - - Kaplan Education Pty Ltd |
| Tobias Deylen | 2018 | 2014 - Bachelor of Commerce (Accounting, Finance) - Bachelor Degree (AQF 7) - Deakin University ~ 2017 - Core 1 Securities & Managed Investments Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2017 - Margin Lending Accreditation - - Stockbrokers & Financial Advisers Association Ltd / DeakinCo ~ 2017 - Professional Diploma in Stockbroking - Diploma (AQF 5) - DeakinCo. & SAFAA |
| Tom Maxwell | 1986 | 2002 - SDIA Accreditation Program - - Securities and Derivatives Industry Association ~ 2010 - Margin Lending & Geared Investments - - Deakin Prime ~ 2014 - Deposit Products and Non-Cash payments - - Financial Education Professionals |
| Tyler Rhys Fehling | 2014 | 2006 - Bachelor of Commerce - - Deakin University ~ 2007 - SDIA Accreditation Program Assessment - - SDIA / Deakin University |
| William George Bell | 2007 | 2006 - Bachelor of Business (Banking & Finance) - - Monash University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Wyndham Jonathon Rofe | 2004 | 1981 - Bachelor of Commerce (Accounting, Finance & Systems) - - University of NSW ~ 1992 - Graduate Diploma in Applied Finance & Investment - - Securities Institute ~ 2003 - RMIT/SDIA Superannuation Module - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Zhuowen Lin | 0 | 2022 - Master of Applied Finance with Distinction - Masters Degree (AQF 9) - University of Western Australia ~ 2023 - Accredited Derivatives Adviser Level 1 (ADA1) Accreditation Program - Other - SIAA and Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Margin Lending Accreditation Program - Other - SIAA and Kaplan Professional |