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