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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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
underwriting:
interests in managed investment schemes; and
an issue of securities;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aaron Jen Keat Chew | 2011 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Bachelor of Commerce (Accounting and Finance) - The University of Sydney ~ Bachelor of Laws - The University of Sydney ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education |
| Anthony Samuel Bongiorno | 1963 | Bachelor of Commerce - University of Melbourne ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education ~ SMSF Specialist Advisor - Self Managed Super Fund Association (formerly SPAA) |
| Blake John Mckeown | 2018 | Bachelor of Business Administration with Bachelor of Laws - Macquarie University ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional Education ~ Diploma of Financial Planning - Kaplan Professional Education |
| Brett Charles Kimmorley | 1993 | Bachelor of Business (Accounting) - University of Technology Sydney ~ CPA Program - CPA Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University |
| Dimitrios Tsirtsakis | 1998 | Bachelor of Business (Accounting) - Chisholm Institute of Technology ~ Certificate IV in Finance & Mortgage Broking - Kaplan Professional Education ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education |
| Helen Cheng | 2004 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Bachelor of Business (Accounting) - RMIT ~ CFP Certification Program - Financial Planning Association of Australia ~ CPA Program - CPA Australia ~ Graduate Diploma of Business Information Technology - Swinburne University |
| Hui Lin Franklin | 2015 | Bachelor of Commerce (Accounting) Hons - University of New South Wales ~ Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education |
| James David Brescia | 2010 | Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Commerce (Financial Planning) - University of Wollongong ~ CFP Certification Program - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Foundation Tax Course - The Taxation Institute Australia |
| Jessica Basinillo-weaver | 2017 | Bachelor of Business (Human Resources)) - La Trobe University ~ CFP Certification Program - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Loretta Anne Hill | 1998 | Bachelor of Business - Bendigo College of Advanced Education ~ CPA Program - CPA Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education |
| Luigi Iacullo | 1996 | Bachelor of Economics (Acc) - Macquarie University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ SMSF Specialist Advisor - Self Managed Super Fund Association (Formerly SPAA) |
| Margaret Erica Mckenzie Mote | 1998 | Certificate IV in Finance & Mortgage Broking - Australis College (formerly Intellitrain) ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education ~ Graduate Diploma of Applied Finance & Investment - FINSIA (formerly Securities Institute of Australia) |
| Mark Roger Anderson | 2006 | Diploma of Financial Services (Financial Planning) - RG 146 Training Australia |
| Matthew Hartley Homewood | 2016 | Bachelor of Arts - University of Melbourne ~ Bachelor of Commerce - University of Melbourne ~ Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education |
| Matthew Paul Doolan | 2016 | Bachelor of Business (Accounting) - Swinburne University ~ CPA Program - CPA Australia ~ Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd |
| Mitchell Mark Mckeown | 2015 | Bachelor of Business (Accounting, Marketing) - Macquarie University ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional Education ~ Diploma of Financial Planning - Pinnacle Financial Services Academy |
| My-vi DU | 2018 | Bachelor of Business (Accounting and Financial Planning) - University of Technology Sydney ~ CA Program - CA ANZ ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education |
| Nicholas John Fennessy | 2002 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Bachelor of Business Management (Accounting, Economics) - RMIT ~ Certificate IV in Finance & Mortgage Broking - Australis College (formerly Intellitrain) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education |
| Paul Laurence Fox | 1996 | Bachelor of Commerce - University of Tasmania ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Master of Taxation - University of Melbourne |
| Ricky Francis Caldow | 2009 | Bachelor of Commerce (Accounting, Financial Planning) - Deakin University ~ Certificate IV in Finance & Mortgage Broking - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education |
| Sarah Catharine Thorburn | 2003 | Bachelor of Commerce - University of Melbourne ~ CPA Program - CPA Australia ~ Introduction to Financial Planning, Risk Management and Insurance Planning - Financial Planning Association of Australia ~ Superannuation & Retirement Planning, Investment Planning I - CCH Learning (formerly Australian Institute of Financial Studies) |
| Stephanie Pamela Maroun | 2018 | Bachelor of Business (Finance and Management) - University of Technology Sydney ~ Client Engagement Skills - Kaplan Professional Education ~ Economic and Legal Context for Financial Planning - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education ~ Tax and Commercial Law for Financial Planning - Kaplan Professional Education |
| Steven James Wilkie | 2004 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Bachelor of Economics (Accounting) - Charles Sturt University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education ~ Financial Planning Proper Authority Course - Securities Institute/The Institute of Chartered Accountants in Australia ~ PS 146 Compliance Program - Securities - Securities Institute |
| Thomas Michael Will | 2018 | Diploma of Financial Planning - Kaplan Professional |
| Tingting Watson | 2018 | Certificate IV of Finance and Mortgage Broking - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education ~ Master of Business and Commerce - University of Western Sydney ~ Master of Professional Accounting - University of Western Sydney |
| Tony Jabbour | 2015 | Bachelor of Commerce (Accounting) - Macquarie University ~ Certificate IV in Finance & Mortgage Broking - Kaplan Professional Education ~ Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education ~ Graduate Diploma of Chartered Accounting - Chartered Accountants ANZ |
| Vanessa Margaret Smith | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Business (Accounting) - Swinburne University ~ CFP Certification Program - Financial Planning Association of Australia ~ Certificate IV in Finance & Mortgage Broking - Kaplan Professional Education |
| Vincent Lagana | 1993 | Bachelor of Business - UTS ~ CPA Program - CPA Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University |
| Warren Troy Davis | 2008 | Bachelor of Commerce (Accounting, Finance) - University of Tasmania ~ CPA Program - CPA Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education ~ Master of Business Administration - Deakin University |
| Wei Ling HO | 2014 | Bachelor of Commerce - University of Sydney ~ Chartered Accountants Program - Chartered Accountants Australia and New Zealand ~ Diploma of Financial Planning - Kaplan Professional Education ~ Master of Accounting - UTS |