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 | 2006 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - The University of Sydney ~ 2007 - Bachelor of Laws - Bachelor Degree (AQF 7) - The University of Sydney ~ 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education Pty Ltd ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - International Institute of Technology Pty Ltd (IIT) ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Blake John Mckeown | 2018 | 2013 - Bachelor of Business Administration with Bachelor of Laws - Bachelor Degree (AQF 7) - Macquarie University ~ 2017 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional Education ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional Education |
| Brent Daniel Wilson | 2010 | 2014 - Bachelor of Commerce (Finance) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Brett Charles Kimmorley | 1993 | 1981 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 1989 - CPA Program - Professional Designations - CPA Australia ~ 1991 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 2000 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Dimitrios Tsirtsakis | 1998 | 1988 - Bachelor of Business (Accounting) - Graduate Certificate (AQF 8) - Chisholm Institute of Technology ~ 2000 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 2001 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2014 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Helen Cheng | 2004 | 1992 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - RMIT ~ 1993 - Graduate Diploma of Business Information Technology - Graduate Diploma (AQF 8) - Swinburne University ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2018 - CFP Certification Program - Professional Designations - Financial Planning Association of Australia ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Hui Lin Franklin | 2015 | 1999 - Bachelor of Commerce (Accounting) Hons - Bachelor Honours Degree (AQF 8) - University of New South Wales ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| James David Brescia | 2010 | 2007 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2009 - Foundation Tax Course - - The Taxation Institute Australia ~ 2012 - CFP Certification Program - Professional Designations - Financial Planning Association of Australia ~ 2015 - Accredited Aged Care Professional - - Aged Care Steps ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jessica Basinillo-weaver | 2017 | 2012 - Bachelor of Business (Human Resources)) - Bachelor Degree (AQF 7) - La Trobe University ~ 2017 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - CFP Certification Program - Professional Designations - Financial Planning Association of Australia |
| Loretta Anne Hill | 1998 | 1985 - Bachelor of Business - Bachelor Degree (AQF 7) - Bendigo College of Advanced Education ~ 1998 - CPA Program - Professional Designations - CPA Australia ~ 2000 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 2002 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Luigi Iacullo | 1996 | 1990 - Bachelor of Economics (Acc) - Bachelor Degree (AQF 7) - Macquarie University ~ 1998 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 1999 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2005 - SMSF Specialist Advisor - Professional Designations - Self Managed Super Fund Association (Formerly SPAA) |
| Margaret Erica Mckenzie Mote | 1998 | 1982 - Graduate Diploma of Applied Finance & Investment - Graduate Diploma (AQF 8) - FINSIA (formerly Securities Institute of Australia) ~ 1998 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 1999 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2013 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Australis College (formerly Intellitrain) ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Mark Roger Anderson | 2006 | 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - RG 146 Training Australia |
| Matthew Hartley Homewood | 2016 | 2013 - Bachelor of Arts - Bachelor Degree (AQF 7) - University of Melbourne ~ 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2013 - Principles of business law (Course No. 732-103) - Other - University of Melbourne ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education ~ 2024 - Taxation for Financial Planning - Other - Kaplan Professional Education |
| Mitchell Mark Mckeown | 2015 | 2009 - Bachelor of Business (Accounting, Marketing) - Bachelor Degree (AQF 7) - Macquarie University ~ 2014 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional Education ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Pinnacle Financial Services Academy |
| My-vi DU | 2018 | 2004 - Bachelor of Business (Accounting and Financial Planning) - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2007 - CA Program - Professional Designations - CA ANZ ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Nicholas John Fennessy | 2002 | 1997 - Bachelor of Business Management (Accounting, Economics) - Bachelor Degree (AQF 7) - RMIT ~ 2010 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2013 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Australis College (formerly Intellitrain) ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Paul Laurence Fox | 1996 | 1985 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Tasmania ~ 1996 - Master of Taxation - Masters Degree (AQF 9) - University of Melbourne ~ 1999 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 2000 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Ricky Francis Caldow | 2009 | 2005 - Bachelor of Commerce (Accounting, Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2014 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Sarah Catharine Thorburn | 2003 | 1996 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2002 - Introduction to Financial Planning, Risk Management and Insurance Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2003 - Superannuation & Retirement Planning, Investment Planning I - Diploma (AQF 5) - CCH Learning (formerly Australian Institute of Financial Studies) ~ 2012 - CPA Program - Professional Designations - CPA Australia |
| Stephanie Pamela Maroun | 2018 | 2013 - Bachelor of Business (Finance and Management) - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education ~ 2020 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional Education ~ 2021 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional Education ~ 2022 - Tax and Commercial Law for Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education |
| Steven James Wilkie | 2004 | 1998 - Bachelor of Economics (Accounting) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2002 - Financial Planning Proper Authority Course - - Securities Institute/The Institute of Chartered Accountants in Australia ~ 2002 - PS 146 Compliance Program - Securities - - Securities Institute ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Thomas Michael Will | 2018 | 2018 - Diploma of Financial Planning - - Kaplan Professional |
| Tingting Watson | 2018 | 2006 - Master of Business and Commerce - Masters Degree (AQF 9) - University of Western Sydney ~ 2008 - Master of Professional Accounting - Masters Degree (AQF 9) - University of Western Sydney ~ 2015 - Certificate IV of Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Tony Jabbour | 2015 | 2000 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - Macquarie University ~ 2007 - Graduate Diploma of Chartered Accounting - Graduate Diploma (AQF 8) - Chartered Accountants ANZ ~ 2014 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional Education ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Vanessa Margaret Smith | 2008 | 2001 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Swinburne University ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2015 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional Education ~ 2018 - CFP Certification Program - Professional Designations - Financial Planning Association of Australia ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Vincent Lagana | 1993 | 1986 - Bachelor of Business - Bachelor Degree (AQF 7) - UTS ~ 1988 - CPA Program - Professional Designations - CPA Australia ~ 1999 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 2000 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Warren Troy Davis | 2008 | 1998 - Bachelor of Commerce (Accounting, Finance) - Bachelor Degree (AQF 7) - University of Tasmania ~ 2002 - CPA Program - Professional Designations - CPA Australia ~ 2007 - Master of Business Administration - Masters Degree (AQF 9) - Deakin University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Wei Ling HO | 2014 | 1995 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Sydney ~ 1997 - Chartered Accountants Program - Professional Designations - Chartered Accountants Australia and New Zealand ~ 1997 - Master of Accounting - Masters Degree (AQF 9) - UTS ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional Education |
| William Scott Brennan | 0 | 2018 - Law, Business and Society (LAW101) - Other - University of Wollongong Australia ~ 2018 - Taxation for Financial Planners (ACCY228) - Other - University of Wollongong Australia ~ 2019 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong Australia ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Yanish Geerdharry | 2011 | 2009 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2010 - Postgraduate Diploma in Commerce (Taxation) - Graduate Diploma (AQF 8) - Curtin University of Technology ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2016 - CFP Certification Program - Professional Designations - Financial Planning Association of Australia ~ 2023 - Master of Business Administration - Masters Degree (AQF 9) - Deakin University |