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:
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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alec Berry | 2015 | 2007 - Bachelor of Commerce (Finance and Accounting) - - University of Queensland ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Alexander Jeffrey Colefax | 2006 | 2002 - Bachelor of Commerce (Financial Planning and Investments) - Bachelor Degree (AQF 7) - Griffith University ~ 2017 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional |
| Andrew Rankin | 2018 | 2018 - Diploma of Financial Planning - - Monarch Institute ~ 2022 - SMSF Accreditation - Other - Super Concepts |
| Andrew Thomas Clucas | 2024 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University ~ 2023 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan |
| Ashley Bishop | 2014 | 2014 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Certified Financial Planner - Professional Designations - FPA |
| Beau C Flanders | 2018 | 2018 - Diploma of Financial Planning - - Mentor Education ~ 2021 - Self Managed Super Fund Adviser - Diploma (AQF 5) - Mentor Education |
| Benjamin James Collins | 2015 | 2014 - Diploma of Financial Planning - - Monarch Institute ~ 2015 - Advanced Diploma of Financial Planning (Qualification) - - Monarch Institute |
| Benjamin Kane Hornsey | 2016 | 2014 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Advanced Diploma Financial Planning FNS60410 - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - Provide advice in Margin Lending - Diploma (AQF 5) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Brenton Robert Matthews | 2015 | 2015 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2015 - FNS50611 - Diploma of Financial Planning - Diploma (AQF 5) - Internation Institute of Technology ~ 2020 - Margin Lending Adviser (Personal Advice) - Certificate (AQF 1-4) - Mentor Education |
| Brittany May Collins | 2018 | 2016 - Bachelor of Arts - - Monash University ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Callum Joseph Glasby | 2007 | 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2012 - Advanced Diploma Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Self Managed Super Funds - - Kaplan Professional ~ 2013 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2017 - Bachelor of Commerce (Finance) - - University of Southern Queensland |
| Conaill Dominic Keniry | 2015 | 2014 - Diploma of Financial Planning - - Monarch Institute ~ 2017 - Bach. Commerce - - Uni Southern Queensland |
| Daniel Micevski | 2018 | 2017 - Bachelor of Finance majoring in Financial Planning & Finance - Bachelor Degree (AQF 7) - LaTrobe University ~ 2018 - Self Managed Superannuation Funds - Other - Financial Education Professionals |
| David Rowland Lang | 2023 | 2022 - BACHELOR OF COMMERCE - Bachelor Degree (AQF 7) - DEAKIN UNIVERSITY |
| Dion Richardson | 2008 | 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2011 - Self Managed Superannuation Funds - - Kaplan ~ 2012 - ASX Accredited Listed Products Adviser (ALPA) Program - - Kaplan ~ 2016 - Masters of Financial Planning - - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Joshua Colin Stewart | 2011 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Margin Lending/Gearing SMSF - - Kaplan ~ 2011 - SMSF Specialist Adviser - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Master of Applied Finance - - Kaplan |
| Joshua John Hampton | 2010 | 2006 - Bachelor of Commerce - - Griffith University ~ 2009 - Diploma of Financial Services (Financial Planning) - - Mentor Education / RG146 ~ 2015 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2017 - Self Managed Superannuation Funds - - Kaplan Professional |
| Kha Han Nguyen | 2012 | 2008 - Bachelor of Commerce (Finance) - Graduate Diploma (AQF 8) - Monash University ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Advice Education ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Advice Education ~ 2018 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Mentor Education ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Leigh Smith | 2015 | 2004 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2009 - Certified Practicing Accountants - Professional Designations - CPA Australia ~ 2011 - Master of Business - Masters Degree (AQF 9) - University of Southern Queensland ~ 2014 - Cavendish & ICFS Specialist SMSF Course - Other - The University of Adelaide ~ 2014 - Margin Lending Accreditation Program - Other - Stockbrokers Association of Australia (Deakin) |
| Luke Anthony Morris | 2018 | 2018 - Diploma of Financial Planning - - Monarch Institute ~ 2022 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - UNE |
| Mark Allen Dela Cruz | 2022 | 2014 - Bachelor of Accounting - Bachelor Degree (AQF 7) - La Trobe University ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2020 - Graduate Certificate of Financial Planning - Graduate Certificate (AQF 8) - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Meri Tungate | 2006 | 1990 - Bachelor of Economics - - Macquarie University ~ 1993 - Certified Practising Accountant - - CPA Australia ~ 2002 - Financial Planning Specialist - - CPA Australia ~ 2006 - Certificate of Public Practice - - CPA Australia ~ 2006 - SMSF Specialist Advisor - - SPAA |
| Mina Nguyen | 2014 | 2013 - Diploma of Financial Planning - - International Institute of Technology Pty Ltd (IIT) ~ 2015 - Advanced Diploma of Financial Planning - - International Institute of Technology Pty Ltd (IIT) ~ 2019 - Margin Lending - Other - Mentor Education ~ 2019 - SMSF - Other - Mentor Education ~ 2021 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan Proffessional |
| Paul Hatzigeorgiadis | 2000 | 2003 - Bachelor of Business (Financial Planning) - - Royal Melbourne Institute of Technology ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2017 - ALPA - - Kaplan ~ 2017 - Self Managed Superannuation Funds - - Kaplan |
| Peter Timothy Carey | 2003 | 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2010 - ASX Listed Products Accreditation Course (LPAC) - Certificate (AQF 1-4) - LPAC Online ~ 2012 - SPAA Specialist Accreditation Program (SSA) - Certificate (AQF 1-4) - SMSF Association ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Graduate Certificate in Finance - Graduate Certificate (AQF 8) - Charles Sturt University |
| Rachael Anne Yurko | 2009 | 2009 - Life Insurance - - Mentor Education ~ 2010 - Superannuation and Retirement Planning - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Ramon-paolo Bautista | 2016 | 2000 - Bachelor of Applied Science (Computer Science) - Bachelor Degree (AQF 7) - RMIT ~ 2015 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2019 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education |
| Rebecca Anne Dillon-hensby | 2014 | 2014 - Diploma of Financial Planning - - Monarch Institute ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Sahil Bhuller | 2016 | 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2018 - Tier 1 Securities - Personal Advice - Diploma (AQF 5) - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2021 - Commercial Law - Certificate (AQF 1-4) - Kaplan ~ 2021 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Samuel Wakefield | 2012 | 2009 - Bachelor of Commerce (Economics) - - Griffith University ~ 2011 - Diploma of Financial Services - - Kaplan ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan ~ 2013 - Self Managed Superannation Funds - - Kaplan ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan |
| Timothy Foster | 1996 | 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2008 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan ~ 2016 - SMSF - Other - Kaplan |
| Yoong Fat Wong Hoy Yuen | 2014 | 2008 - Bachelor of Business (Banking and Finance) - - Victoria University ~ 2012 - Diploma of Finance and Mortgage Broking Management - - Kaplan ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |