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 |
|---|---|---|
| (pavithra) Manouri Adikaram | 2017 | 2015 - Advanced Diploma of Financial Planning - - Kaplan |
| Adam Campbell Smith | 1990 | 2002 - DipFP - - FPA ~ 2011 - FChFP - - AFA ~ 2013 - ChLP - - AFA ~ 2020 - Ethics and Professionalism in Financial Advice - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Andrew John Proudfoot | 2007 | 2006 - Bachelor Degree - Economics - - University of Queensland ~ 2006 - Bachelor Degree - Law - - University of Queensland ~ 2006 - Diploma - Financial Services - - Kaplan ~ 2011 - Masters Degree - Taxation and Financial Planning - - University of New South Wales ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Anthony Bourke | 2009 | 2001 - Bachelor of Business - - Swinburne University ~ 2006 - Diploma of Financial Planning - - Mentor Education |
| Benjamin James Day | 2014 | 2014 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Pinnacle Financial Services Academy |
| Cameron John Peck | 2003 | 1998 - Bachelor of Business (Accounting) - - Monash University ~ 2001 - Chartered Accountants - Professional Designations - Institute of Chartered Accountants Australia ~ 2008 - Certified Financial Planner - Professional Designations - FPA ~ 2013 - Diploma of Financial Planning - - Pinnacle Financial Services Academy Pty Ltd ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Chengzhen How | 2015 | 2011 - Bachelor of Commerce (Accounting & Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - Certified Financial Planner - Professional Designations - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Christopher Robert Matlock | 1996 | 1994 - Bachelor of Business (Acc) - - RMIT ~ 1997 - Diploma of Financial Planning - - RMIT ~ 1999 - Certified Financial Planner - - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Corey James Evans | 2018 | 2018 - RG146 knowledge areas met, working towards Bachelor of Commerce - - Griffith University ~ 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University |
| Damien Paul Diggle | 2010 | 2007 - Diploma - Financial Planning - - Kaplan ~ 2013 - Certificate - Approved Listed Product Advisor - - Kaplan |
| David Bourke | 1990 | 2004 - Estate Planning - - IntegraTec ~ 2018 - Diploma of Financial Planning - - Kaplan |
| David Mackenzie Keavney | 2005 | 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Douglas Peter Frith | 2008 | 1999 - Bachelor Degree - Economics - - University of Queensland ~ 2006 - Diploma - Financial Planning - - Kaplan |
| Garth John Mclardie | 2011 | 2000 - Diploma in Financial Planning - - Financial Planning Association Australia |
| James Patterson | 1999 | 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca |
| Jamie Lewis | 2016 | 2013 - Bachelor of Commerce - - University of Melbourne ~ 2015 - RG146 - - Mentor Education |
| Jason Joseph Turner | 2011 | 2011 - Bachelor of Finance (Finance) - - La Trobe University ~ 2011 - Diploma of Financial Services - - RMIT ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2013 - DPML Margin Lending - - Pinnacle Financial Services Academy ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jeffrey Guy Lanyon | 2012 | 2002 - RG146 Managed Investments- Securities - Margin Lending - Diploma (AQF 5) - Kaplan Australia ~ 2012 - Diploma of Financial Planning FNS50610 - Diploma (AQF 5) - Kaplan Australia ~ 2016 - Advanced of Diploma Financial Planning FNS60415 - Diploma (AQF 5) - Kaplan Australia |
| John Filippone | 1998 | 1992 - Bachelor of Business (Banking and Finance) - - Victoria University ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2021 - Economic &Legal Context for Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - Client Engagement Skills - Graduate Diploma (AQF 8) - Kaplan Professional |
| Kristen Catherine Agius | 2018 | 2018 - Diploma of Financial Planning - - IIT ~ 2019 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong Australia |
| Kristy Mitchell | 2011 | 2011 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - MLC ThreeSixty ~ 2011 - RG146 Provide advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2017 - Advanced Diploma Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Central Queensland University |
| Larissa John Tapsall | 2018 | 2017 - Diploma of Financial Planning - - Kaplan Professional |
| Leslie Thomas Wigginton | 2002 | 2014 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Kaplan Australia ~ 2017 - Advanced Diploma Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2019 - Certified Insurance Professional (CIP) - Certificate (AQF 1-4) - Australian and New Zealand Institute of Insurance and Finance ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Luke Considine | 2007 | 2004 - Bachelor Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2006 - Advanced Diploma Financial Services (Financial Planning) FNB50802 - Advanced Diploma (AQF 6) - Aust. & NZ Institute of Insurance & Finance ~ 2010 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) |
| Luke Towers | 2016 | 2011 - Bachelor of Commerce - - University of Western Australia ~ 2011 - Bsc of Commerce - - UWA ~ 2014 - Graduate Diploma of Financial Planning - - Kaplan ~ 2016 - Master of Financial Planning - - Kaplan ~ 2016 - Masters of Financial Planning - - Kaplan ~ 2017 - Certified Financial Planner - - FPA ~ 2017 - Certified Financial Planner - - Financial Planning Association |
| Mark Adrian Butler | 2004 | 2004 - Diploma of Financial Services (Financial Planning) - - Financial Services Training & Assessment Pty Ltd |
| Mark Femia | 2011 | 2009 - Diploma of Financial Planning - - Mentor Education Group |
| Mark Staggs | 2001 | 2001 - Diploma - Financial Planning - - Tribeca |
| Mark William Everingham | 2001 | 2004 - Diploma of Financial Planning - - FPA ~ 2006 - Certified Financial Planner Education Program - - FPA ~ 2009 - Certified Financial Planner - - FPA ~ 2010 - Life Risk Specialists (LRS) - - FPA ~ 2012 - Accredited Estate Planning Strategist (AEPS) - - FPA |
| Matthew Gates | 2002 | 1994 - Bachelor of Health Science (Human Movement) - - The University of New England ~ 2013 - Associate Chartered Financial Practitioner (AChFP) - - Mentor ~ 2016 - Advanced Diploma of Financial Planning - - Mentor ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Michael John Rollinson | 1994 | 1998 - Diploma of Financial Planning - - Deakin ~ 2003 - Company Directors Diploma - - AICD ~ 2008 - MBA - - Queensland University of Technology ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Miguel Frances | 2009 | 2004 - Diploma of Financial Services (Financial Planning) - - Financial Services Training & Assessment |
| Morris Richard Winestone | 2005 | 2004 - Diploma of Financial Services (Financial Planning) - - Tribeca (Kaplan) |
| Noah Langerak | 0 | 2023 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University |
| Oliver Allan Wicks | 0 | 2024 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University |
| Pamela Elizabeth Pitt | 2010 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - FINSIA ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2022 - Australian Taxation Law for Tax (financial) Advisers - Other - AAMC Training Group ~ 2022 - Commercial Law for Tax (financial) Advisers - Other - AAMC Training Group |
| Paul Anthony Taylor | 2013 | 2013 - 922 Derivatives & Skills - Diploma (AQF 5) - Kaplan Australia ~ 2013 - Diploma Financial Planning (FNS50611) - Diploma (AQF 5) - Kaplan Australia ~ 2013 - Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2013 - Securities & Managed Investments - Diploma (AQF 5) - Kaplan Australia |
| Paul Milbourne | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - - AMP Financial Planning Pty Ltd ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2021 - Economic and Legal Context for Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2021 - Financial Adviser Exam - Other - ASIC ~ 2021 - Tax and Commercial Law for Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Peter Blassis | 1994 | 1990 - Bachelor of Arts - - Monash University ~ 1992 - Post Graduate Diploma of Public Policy with Thesis - - University of Melbourne ~ 2004 - Diploma of Financial Advising - - Finsia ~ 2013 - Self Managed Super Funds - - Mentor |
| Rory James Mackenzie | 2003 | 2000 - Bachelor of Commerce - - University of New England - Armidale ~ 2003 - Diploma of Financial Services (FP) - - Integratec |
| Ryan Adam Dean | 2000 | 2001 - Advanced Investment Planning - - FPA ~ 2001 - Risk management - - Integratec ~ 2001 - Superannuation and Retirement Planning - - Integratec ~ 2001 - Taxation Planning - - FPA ~ 2010 - Diploma of Business Management - - Swinburne |
| Samuel Coutts | 0 | 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University |
| Scott Reid | 2013 | 2011 - Bachelor of Commerce - - University of Western Australia ~ 2014 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Shane Bryan Coutts | 1986 | 1997 - Financial Planning Principles & Practice - - Securities Institute ~ 2002 - Diploma of Financial Planning - - Integratrec ~ 2002 - Investment Planning 2 - - Integratec ~ 2003 - Estate Planning - - Integratec ~ 2004 - Financial Plan Construction & Review - - Tribeca |
| Simon Gordon | 2004 | 1997 - Bachelor of Business (Marketing) - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2003 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2005 - Diploma of Financial Planning FNS50804 - Diploma (AQF 5) - MLC ThreeSixty ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Stephen Perera | 2005 | 2004 - Advanced Diploma of Accounting - - New South Wales TAFE ~ 2013 - Diploma of Financial Planning - - International Institute of Technology ~ 2016 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Stephen William Beetham | 1979 | 1978 - Diploma AAI Life Insurance - - Insurance Institute of Victoria ~ 2001 - Diploma of Financial Planning - - Kaplan Education Australia |
| Steven Cacciottolo | 2008 | 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education Pty Ltd ~ 2012 - Self Managed Super Funds - Other - Kaplan professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education Pty Ltd |
| Tanuja Ajanthi Pirie | 1998 | 2003 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne University ~ 2003 - Diploma of Financial Planning FNB50802 - Diploma (AQF 5) - Integratec Training ~ 2005 - Advanced Diploma of Financial Planning)FNB60402 - Advanced Diploma (AQF 6) - Aust. & NZ Institute of Insurance & Finance |
| Travis Bailey | 2000 | 2013 - Advanced Diploma of Financial Planning - - Mentor Education Pty Ltd ~ 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Tristan Alexander Strange | 2018 | 2018 - Diploma of Financial Planning - - Mentor Education ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Tyler Scarce | 2016 | 2014 - Bachelor of International Business - - La Trobe University ~ 2016 - Bachelor of Business-Major in Financial Planning - - RMIT ~ 2017 - Advanced Diploma of Financial Planning - - IIT |
| Uyen Pham Thuy Nguyen | 2000 | 1997 - Bachelor of Arts - - Melbourne University ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2009 - Diploma Financial Services (financial Planning) - - Kaplan |