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 | 2007 - Bachelor of Business (Accountancy) - - Royal Melbourne Institute of Technology ~ 2010 - Graduate Diploma of Applied Finance - - Kaplan |
| Adam Sebastian Forsberg | 2006 | 2004 - Diploma of Financial Services (Financial Planning) - - ThreeSixty ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - - ThreeSixty |
| Anthony Curro | 1999 | 1994 - Diploma of Superannuation Management - Diploma (AQF 5) - Macquarie University ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University |
| Bevan Heneric | 2012 | 2011 - Bachelor of Business (Accounting) - - Monash University ~ 2011 - Bachelor of Business (Banking and Finance) - - Monash University ~ 2015 - Diploma of Financial Planning - - Mentor ~ 2021 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Brian Rodney William Magill | 2004 | 2006 - FNS60404 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2010 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2010 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2014 - FNS40811 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional Education |
| Chang Liu | 2014 | 2007 - Bachelor of Commerce - - Griffith University ~ 2012 - Diploma of Financial Planning - - International Institute of Technology ~ 2013 - Advanced Diploma of Financial Planning - - International Institute of Technology ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Charlie Abd | 2015 | 2014 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Kaplan Australia ~ 2014 - RG146 Managed Investments & Securities - Diploma (AQF 5) - Kaplan Australia ~ 2015 - Self Managed Superannuation Funds - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2017 - Advanced Diploma Financial Planning - Advanced Diploma (AQF 6) - Kaplan |
| Christian Paul Lazarou | 2005 | 2005 - Diploma of Financial Planning - - Mentor Education ~ 2012 - Diploma of Finance and Mortgage Broking - - Mentor Education ~ 2013 - Advance Diploma in Financial Planning - - Mentor Education ~ 2016 - SMSF Specialist Advisor - - Mentor Education |
| David Erfan Kashan | 2018 | 2018 - FNS50615 - - International Institute of Technology ~ 2021 - Tax Financial Adviser - Professional Designations - Tax Practitioners Board ~ 2024 - Graduate Dilpoma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| David Lloyd Jenkins | 2002 | 2005 - Diploma of Financial Services (Financial Planning) - - Australian Institute of Financial Services and Accounting (AIFA) ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd |
| James Ashley Parton | 2007 | 2004 - Postgraduate Certificate in Management - - The University of Southern Queensland ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| James Mitchell Fowler | 0 | 2011 - Margin Lending Geared Investments - Certificate (AQF 1-4) - Kaplan ~ 2012 - Principles of SMSF - Certificate (AQF 1-4) - IIT ~ 2017 - Australian Taxation & Commercial Law - Certificate (AQF 1-4) - IIT ~ 2017 - Planning Ethics & Taxation - Certificate (AQF 1-4) - IIT ~ 2022 - Masters of Applied Finance - Masters Degree (AQF 9) - Charles Sturt University ~ 2023 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Charles Sturt University |
| John Addario | 2004 | 1996 - Bachelor of Business - - University of Technology (Sydney) ~ 2013 - Certified Financial Planner Program - - Financial Planning Association of Australia (FPA) |
| John Frederick Jones | 1992 | 1993 - CFP - - FPA ~ 2004 - Diploma of Financial Planning - - FPA ~ 2004 - Self Managed Superannuation Fund - - Tribeca ~ 2009 - ASX Accredited Listed Product Adviser - - Kaplan ~ 2010 - DPML Margin Lending - - Pinnacle |
| Jordan Green | 2008 | 2008 - Diploma of Financial Planning - - Pinnacle ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2013 - SMSF - - Kaplan |
| Judy Zong | 2005 | 2005 - Master of Commerce - - University of Western Sydney ~ 2014 - SMSF - - Kaplan ~ 2016 - TASA and the TPB Code of Professional Conduct - - Kaplan |
| Kalapi Trivedi | 2011 | 2015 - RG146 Tier 1 Specialist Risk Management - - IIT ~ 2016 - Diploma of Financial Planning - - ITT ~ 2016 - Specialist Self-managed Superannuation Fund - - ITT |
| Kimberly Page | 2016 | 2016 - Diploma of Financial Planning - - Mentor Education |
| Kimberly Robin Kalms | 1999 | 2003 - Diploma of Financial Planning - - Financial Planning Association ~ 2010 - Investment Planning 1 - - Financial Planning Association |
| Kristofer James Jenkins | 2018 | 2016 - Diploma of Financial Planning - - Monarch Institute ~ 2017 - Bachelor of Commerce (Financial Planning) - - Griffith University |
| Lucas Mciver Brine | 2018 | 2011 - Bachelor of Business Management - - Griffith University ~ 2017 - Graduate Certificate in Financial Planning - - Griffith University |
| Luke Phillip Young | 2015 | 2017 - FNS Training Package 2017 - - Pinnacle Financial Services Academy |
| Lyndon Brandt Watson | 1999 | 2002 - Diploma of Financial Planning - - Deakin University ~ 2011 - DPML Margin Lending - - Pinnacle Financial Services Academy |
| Matthew James Christensen | 2010 | 2007 - Bachelor Applied Finance and Commerce-Marketing - - Macquarie University ~ 2008 - Dip Financial Planning - - Carlyle Institute ~ 2010 - Institute of Chartered Accountants - - Institute of Chartered Accountants |
| Max Pagnin | 2004 | 2006 - Advanced Diploma of Financial Services - - Tribeca |
| Michael James Sprague | 2016 | 2000 - Bachelor of Business (Accounting) - - Southern Cross University ~ 2005 - CPA - - CPA Australia ~ 2015 - Diploma of Financial Planning - - Kaplan |
| Mitchell Aaron Johnston | 2012 | 2012 - Diploma of Financial Services (Financial Planning) - - Integrity Education Group ~ 2014 - Advanced Diploma of Financial Planning - - Integrity ~ 2014 - Advanced Diploma of Financial Services (Financial Planning) - - Integrity Education Group ~ 2014 - Self Managed Superannuation Fund Certificate - - Mentor Education ~ 2014 - Self Managed Supoerannuation Funds - - Mentor Education |
| Mitchell Burton | 2016 | 2010 - Bachelor of Commerce - - University of Wollongong ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2024 - Tax For Financial Advising - Other - Kaplan |
| Narayan Raj | 2006 | 2006 - Diploma of Financial Planning - - PS146 Training ~ 2012 - Advance Diploma of Financial Planning - - Investment Banking Institute ~ 2017 - Master of Business Administration (MBA) - Masters Degree (AQF 9) - Australian Institute of Business ~ 2020 - FASEA Adviser Exam - Other - FASEA ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nicholas Edmund Raunjak | 2022 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Paul Samuel Searle | 2018 | 2018 - FNS10 - - Terra Cordis |
| Peter Kaleski | 2009 | 2006 - Diploma BCom - - University of Wollongong ~ 2008 - Graduate Certificate in Financial Planning - - finsia ~ 2011 - Margin Lending & Geared Investments - - Kaplan ~ 2011 - Self Managed Superannuation Funds - - Kaplan |
| Peter Paul Sobczuk-murawczak | 2014 | 1994 - Bachelor of Business - - Victoria University ~ 2004 - Graduate Diploma in Business Administration - - Queensland University of Technology ~ 2010 - Executive MBA - - Queensland University of Technology ~ 2014 - Diploma of Financial Planning - - Mentor Education ~ 2014 - SMSF - - Mentor |
| Ravjot Walia | 2004 | 1999 - Diploma of Financial Planning - - Deakin University ~ 2002 - Superannuation & Retirement Planning - - IntegraTec ~ 2013 - Certificate IV in Finance & Mortgage Broking - - Kaplan |
| Robert Stanoff | 1992 | 2010 - Advanced Diploma of Financial Services (Financial Planning) - - International Institute of Technology ~ 2010 - Specialist Knowledge in Self Managed Superannuation Funds - - International Institute of Technology ~ 2014 - Certificate IV Property Services (Real Estate) - - RealEstate Education Training NSW ~ 2014 - Tax (Financial) Adviser - - Tax Practitioners Board ~ 2018 - Advanced Diploma of Accounting - - International Institute of Technology |
| Robert William Delmenico | 1996 | 1991 - University of Ballarat - - Bachelor of Business ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute |
| Ronald Andrew Pratap | 2010 | 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2014 - ALPA - - Kaplan ~ 2015 - SMSF - - Kaplan ~ 2023 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Sedat Papagan | 2010 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| Stefano Duro | 2015 | 2015 - Diploma of Financial Planning - - Monarch Institute ~ 2017 - FNSTPB506 (Taxation Requirements) - - Monarch Institute ~ 2017 - FNSTPB507 (Legal principles in Commercial Law) - - Monarch Institute |
| Steven Taylor Watson | 2016 | 2015 - Diploma of Financial Planning - - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2016 - Self Managed Super Funds - Other - Kaplan ~ 2024 - Commercial Law - Other - Kaplan |
| Tracey Richards | 2018 | 2005 - Master of Business Administration - - Southern Cross University (SCU) ~ 2018 - Industry Standard Education - RG146 specialist knowledge - - Kaplan Professional ~ 2019 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Trung Hieu Nguyen | 2022 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - Tax For Financial Advising - Other - Kaplan |
| Tyson Thomas Jonas | 2017 | 2015 - Bachelor Of Business - - James Cook University ~ 2016 - Diploma of Financial Planning - - Monarch Institute ~ 2018 - SMSF - Statement of Attainment - - Monarch Institute |
| Vanessa Smith | 2014 | 2006 - Bachelor of Business - - Aust Catholic University Nth Sydney ~ 2008 - Institute of Chartered Accountants - - Institute of Chartered Accountants |
| Vince Loverso | 2004 | 2002 - Bachelor of Business (Financial Planning) - - RMIT University |