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 |
|---|---|---|
| Adam Grigoropoulos | 2011 | Bachelor of Business (Accountancy) - Royal Melbourne Institute of Technology ~ Graduate Diploma of Applied Finance - Kaplan |
| Adam Sebastian Forsberg | 2006 | Advanced Diploma of Financial Services (Financial Planning) - ThreeSixty ~ Diploma of Financial Services (Financial Planning) - ThreeSixty |
| Bevan Heneric | 2012 | Bachelor of Business (Accounting) - Monash University ~ Bachelor of Business (Banking and Finance) - Monash University ~ Diploma of Financial Planning - Mentor ~ Graduate Diploma in Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Brian Rodney William Magill | 2004 | Certified Financial Planner - Financial Planning Association of Australia ~ FNS40811 - Certificate IV in Finance and Mortgage Broking - Kaplan Professional Education ~ FNS60404 - Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Chang Liu | 2014 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Bachelor of Commerce - Griffith University ~ Diploma of Financial Planning - International Institute of Technology ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Christian Paul Lazarou | 2005 | Advance Diploma in Financial Planning - Mentor Education ~ Diploma of Finance and Mortgage Broking - Mentor Education ~ Diploma of Financial Planning - Mentor Education ~ SMSF Specialist Advisor - Mentor Education |
| David Erfan Kashan | 2018 | FNS50615 - International Institute of Technology ~ Tax Financial Adviser - Tax Practitioners Board |
| David John Keenan | 2004 | Master of Commerce (Financial Planning) - University of Western Sydney |
| David Lloyd Jenkins | 2002 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Diploma of Financial Services (Financial Planning) - Australian Institute of Financial Services and Accounting (AIFA) |
| James Ashley Parton | 2007 | Graduate Diploma of Financial Planning - Kaplan Professional ~ Postgraduate Certificate in Management - The University of Southern Queensland |
| James Harman | 2004 | Advanced Strategies for Self Managed Superannuation - Three Sixty ~ Diploma of Financial Planning Services (Financial Planning) - King's International College ~ Financial Planning Course - Tribeca ~ Superannuation & Retirement Planning - Three Sixty ~ Wealth Creation - Retierment Planning - Three Sixty |
| John Addario | 2004 | Bachelor of Business - University of Technology (Sydney) ~ Certified Financial Planner Program - Financial Planning Association of Australia (FPA) |
| John Frederick Jones | 1992 | ASX Accredited Listed Product Adviser - Kaplan ~ CFP - FPA ~ DPML Margin Lending - Pinnacle ~ Diploma of Financial Planning - FPA ~ Self Managed Superannuation Fund - Tribeca |
| Jordan Green | 2008 | Diploma of Financial Planning - Pinnacle ~ Margin Lending and Geared Investments - Kaplan ~ SMSF - Kaplan |
| Judy Zong | 2005 | Master of Commerce - University of Western Sydney ~ SMSF - Kaplan ~ TASA and the TPB Code of Professional Conduct - Kaplan |
| Kalapi Trivedi | 2011 | Diploma of Financial Planning - ITT ~ RG146 Tier 1 Specialist Risk Management - IIT ~ Specialist Self-managed Superannuation Fund - ITT |
| Kimberly Page | 2016 | Diploma of Financial Planning - Mentor Education |
| Kimberly Robin Kalms | 1999 | Diploma of Financial Planning - Financial Planning Association ~ Investment Planning 1 - Financial Planning Association |
| Kristofer James Jenkins | 2018 | Bachelor of Commerce (Financial Planning) - Griffith University ~ Diploma of Financial Planning - Monarch Institute |
| Lucas Mciver Brine | 2018 | Bachelor of Business Management - Griffith University ~ Graduate Certificate in Financial Planning - Griffith University |
| Luke Phillip Young | 2015 | FNS Training Package 2017 - Pinnacle Financial Services Academy |
| Lyndon Brandt Watson | 1999 | DPML Margin Lending - Pinnacle Financial Services Academy ~ Diploma of Financial Planning - Deakin University |
| Matthew James Christensen | 2010 | Bachelor Applied Finance and Commerce-Marketing - Macquarie University ~ Dip Financial Planning - Carlyle Institute ~ Institute of Chartered Accountants - Institute of Chartered Accountants |
| Max Pagnin | 2004 | Advanced Diploma of Financial Services - Tribeca |
| Michael Darren Berman | 2009 | Advance Diploma of Financial Services - Kaplan ~ Certificate IV in Financial Services - Kaplan ~ Diploma of Financial Services - Kaplan |
| Michael James Sprague | 2016 | Bachelor of Business (Accounting) - Southern Cross University ~ CPA - CPA Australia ~ Diploma of Financial Planning - Kaplan |
| Mitchell Aaron Johnston | 2012 | Advanced Diploma of Financial Planning - Integrity ~ Advanced Diploma of Financial Services (Financial Planning) - Integrity Education Group ~ Diploma of Financial Services (Financial Planning) - Integrity Education Group ~ Self Managed Superannuation Fund Certificate - Mentor Education ~ Self Managed Supoerannuation Funds - Mentor Education |
| Mitchell Burton | 2016 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - University of Wollongong ~ Diploma of Financial Planning - Kaplan |
| Nicholas Edmund Raunjak | 2022 | Graduate Diploma of Financial Planning - Kaplan |
| Paul Samuel Searle | 2018 | FNS10 - Terra Cordis |
| Peter Paul Sobczuk-murawczak | 2014 | Bachelor of Business - Victoria University ~ Diploma of Financial Planning - Mentor Education ~ Executive MBA - Queensland University of Technology ~ Graduate Diploma in Business Administration - Queensland University of Technology ~ SMSF - Mentor |
| Ravjot Walia | 2004 | Certificate IV in Finance & Mortgage Broking - Kaplan ~ Diploma of Financial Planning - Deakin University ~ Superannuation & Retirement Planning - IntegraTec |
| Robert Stanoff | 1992 | Advanced Diploma of Accounting - International Institute of Technology ~ Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology ~ Certificate IV Property Services (Real Estate) - RealEstate Education Training NSW ~ Specialist Knowledge in Self Managed Superannuation Funds - International Institute of Technology ~ Tax (Financial) Adviser - Tax Practitioners Board |
| Robert William Delmenico | 1996 | Graduate Diploma of Financial Planning - Securities Institute ~ University of Ballarat - Bachelor of Business |
| Ronald Andrew Pratap | 2010 | ALPA - Kaplan ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ HSC - Bossley Park High School ~ SMSF - Kaplan |
| Sedat Papagan | 2010 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Self Managed Superannuation Funds - Kaplan Professional |
| Stefano Duro | 2015 | Diploma of Financial Planning - Monarch Institute ~ FNSTPB506 (Taxation Requirements) - Monarch Institute ~ FNSTPB507 (Legal principles in Commercial Law) - Monarch Institute |
| Stephen Gaius White | 1990 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - FPA ~ Diploma of Financial Planning - Mentor Education ~ Financial Adviser Exam - ASIC |
| Steven Taylor Watson | 2016 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Self Managed Super Funds - Kaplan |
| Tracey Richards | 2018 | Graduate Diploma Financial Planning - Kaplan ~ Industry Standard Education - RG146 specialist knowledge - Kaplan Professional ~ Master of Business Administration - Southern Cross University (SCU) |
| Trung Hieu Nguyen | 2022 | Graduate Diploma of Financial Planning - Kaplan |
| Tyson Thomas Jonas | 2017 | Bachelor Of Business - James Cook University ~ Diploma of Financial Planning - Monarch Institute ~ SMSF - Statement of Attainment - Monarch Institute |
| Vanessa Smith | 2014 | Bachelor of Business - Aust Catholic University Nth Sydney ~ Institute of Chartered Accountants - Institute of Chartered Accountants |
| Vince Loverso | 2004 | Bachelor of Business (Financial Planning) - RMIT University |