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 | Advanced Diploma of Financial Planning - Kaplan |
| Adam Campbell Smith | 1990 | ChLP - AFA ~ DipFP - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FChFP - AFA |
| Andrew Dwyer | 2011 | Diploma of Financial Planning - Kaplan ~ Diploma of Financial Services - FINSIA ~ Diploma of Mortgage Broking - Kaplan |
| Andrew John Proudfoot | 2007 | Bachelor Degree - Economics - University of Queensland ~ Bachelor Degree - Law - University of Queensland ~ Diploma - Financial Services - Kaplan ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Masters Degree - Taxation and Financial Planning - University of New South Wales |
| Anthony Bourke | 2009 | Bachelor of Business - Swinburne University ~ Diploma of Financial Planning - Mentor Education |
| Benjamin James Day | 2014 | Diploma Financial Planning FNS50611 - Pinnacle Financial Services Academy |
| Cameron John Peck | 2003 | Bachelor of Business (Accounting) - Monash University ~ Certified Financial Planner - FPA ~ Chartered Accountants - Institute of Chartered Accountants Australia ~ Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Chengzhen How | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Accounting & Finance) - Monash University ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Kaplan Professional |
| Corey James Evans | 2018 | Bachelor of Commerce - Griffith University ~ RG146 knowledge areas met, working towards Bachelor of Commerce - Griffith University |
| Damien Paul Diggle | 2010 | Certificate - Approved Listed Product Advisor - Kaplan ~ Diploma - Financial Planning - Kaplan |
| David Bourke | 1990 | Diploma of Financial Planning - Kaplan ~ Estate Planning - IntegraTec |
| David Mackenzie Keavney | 2005 | Diploma of Financial Services (Financial Planning) - Tribeca ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Douglas Peter Frith | 2008 | Bachelor Degree - Commerce - University of Queensland ~ Bachelor Degree - Economics - University of Queensland ~ Diploma - Financial Planning - Kaplan |
| Garth John Mclardie | 2011 | Diploma in Financial Planning - Financial Planning Association Australia |
| Jamie Lewis | 2016 | Bachelor of Commerce - University of Melbourne ~ RG146 - Mentor Education |
| Jeffrey Guy Lanyon | 2012 | Advanced of Diploma Financial Planning FNS60415 - Kaplan Australia ~ Diploma of Financial Planning FNS50610 - Kaplan Australia ~ RG146 Managed Investments- Securities - Margin Lending - Kaplan Australia |
| Kristen Catherine Agius | 2018 | Bachelor of Commerce (Financial Planning) - University of Wollongong Australia ~ Diploma of Financial Planning - IIT |
| Kristy Mitchell | 2011 | Advanced Diploma Financial Planning FNS60415 - Kaplan Australia ~ Diploma Financial Services (Financial Planning) FNS50804 - MLC ThreeSixty ~ Graduate Diploma of Financial Planning - Central Queensland University ~ RG146 Provide advice in Margin Lending - MLC ThreeSixty |
| Leslie Thomas Wigginton | 2002 | Advanced Diploma Financial Planning FNS60415 - Kaplan Australia ~ Certified Insurance Professional (CIP) - Australian and New Zealand Institute of Insurance and Finance ~ Diploma Financial Planning FNS50611 - Kaplan Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Luke Considine | 2007 | Advanced Diploma Financial Services (Financial Planning) FNB50802 - Aust. & NZ Institute of Insurance & Finance ~ Bachelor Commerce (Financial Planning) - Deakin University ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) |
| Luke Towers | 2016 | Bachelor of Commerce - University of Western Australia ~ Bsc of Commerce - UWA ~ Certified Financial Planner - FPA ~ Certified Financial Planner - Financial Planning Association ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan ~ Masters of Financial Planning - Kaplan |
| Mark Adrian Butler | 2004 | Diploma of Financial Services (Financial Planning) - Financial Services Training & Assessment Pty Ltd |
| Mark Femia | 2011 | Diploma of Financial Planning - Mentor Education Group |
| Mark Staggs | 2001 | Diploma - Financial Planning - Tribeca |
| Mark William Everingham | 2001 | Accredited Estate Planning Strategist (AEPS) - FPA ~ Certified Financial Planner - FPA ~ Certified Financial Planner Education Program - FPA ~ Diploma of Financial Planning - FPA ~ Life Risk Specialists (LRS) - FPA |
| Matthew Gates | 2002 | Advanced Diploma of Financial Planning - Mentor ~ Associate Chartered Financial Practitioner (AChFP) - Mentor ~ Bachelor of Health Science (Human Movement) - The University of New England ~ Diploma of Financial Planning - Mentor ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Michael Anthony Atta | 2006 | Diploma Of Financial Planning - FPA |
| Michael John Rollinson | 1994 | Company Directors Diploma - AICD ~ Diploma of Financial Planning - Deakin ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ MBA - Queensland University of Technology |
| Miguel Frances | 2009 | Diploma of Financial Services (Financial Planning) - Financial Services Training & Assessment |
| Paul Anthony Taylor | 2013 | 922 Derivatives & Skills - Kaplan Australia ~ Diploma Financial Planning (FNS50611) - Kaplan Australia ~ Margin Lending - MLC ThreeSixty ~ Securities & Managed Investments - Kaplan Australia |
| Peter Blassis | 1994 | Bachelor of Arts - Monash University ~ Diploma of Financial Advising - Finsia ~ Post Graduate Diploma of Public Policy with Thesis - University of Melbourne ~ Self Managed Super Funds - Mentor |
| Rory James Mackenzie | 2003 | Bachelor of Commerce - University of New England - Armidale ~ Diploma of Financial Services (FP) - Integratec |
| Ryan Adam Dean | 2000 | Advanced Investment Planning - FPA ~ Diploma of Business Management - Swinburne ~ Risk management - Integratec ~ Superannuation and Retirement Planning - Integratec ~ Taxation Planning - FPA |
| Shabab Bin Maqsud | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor Of Commerce (Accounting) - Macquarie University ~ Diploma of Financial Planning - Kaplan Professional Education ~ Margin Lending Adviser (Personal Advice) - Mentor Education ~ Self Managed Superannuation Funds - Mentor Education |
| Shane Bryan Coutts | 1986 | Diploma of Financial Planning - Integratrec ~ Estate Planning - Integratec ~ Financial Plan Construction & Review - Tribeca ~ Financial Planning Principles & Practice - Securities Institute ~ Investment Planning 2 - Integratec |
| Simon Gordon | 2004 | Bachelor of Business (Marketing) - University of Technology Sydney ~ Diploma of Financial Planning FNS50804 - MLC ThreeSixty ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ RG146 Margin Lending - MLC ThreeSixty |
| Stephen James Bartholomew | 1999 | Bachelor Arts - Griffith University ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ Margin Lending & Geared Investments - Kaplan ~ Master of Business Administration - University of Queensland ~ SMSF - Kaplan |
| Stephen Perera | 2005 | Advanced Diploma of Accounting - New South Wales TAFE ~ Diploma of Financial Planning - International Institute of Technology ~ Graduate Diploma of Financial Planning - Kaplan |
| Stephen William Beetham | 1979 | Diploma AAI Life Insurance - Insurance Institute of Victoria ~ Diploma AAI Life Insurance - Insurance Institute of Victoria ~ Diploma of Financial Planning - Kaplan Education Australia ~ Diploma of Financial Planning - Kaplan Education Australia |
| Tanuja Ajanthi Pirie | 1998 | Advanced Diploma of Financial Planning)FNB60402 - Aust. & NZ Institute of Insurance & Finance ~ Bachelor of Business - Swinburne University ~ Diploma of Financial Planning FNB50802 - Integratec Training |
| Terry LE | 2017 | Bachelor of Commerce in Finance and Financial Economics - The University of New South Wales ~ Diploma of Financial Planning - Kaplan Professional Education |
| Travis Bailey | 2000 | Advanced Diploma of Financial Planning - Mentor Education Pty Ltd ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Tristan Alexander Strange | 2018 | Diploma of Financial Planning - Mentor Education |
| Tyler Scarce | 2016 | Advanced Diploma of Financial Planning - IIT ~ Bachelor of Business-Major in Financial Planning - RMIT ~ Bachelor of International Business - La Trobe University |
| Uyen Pham Thuy Nguyen | 2000 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Arts - Melbourne University ~ Diploma Financial Services (financial Planning) - Kaplan |