Canaccord Genuity Financial Limited

AFS License Number
239052
Name
Canaccord Genuity Financial Limited
ABN/ACN/ARBN
69008896311
Licensee issued
Feb. 1, 2004
Address
Melbourne, 3000, VIC

Licence conditions

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;
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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation;
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;
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;
interests in managed investment schemes limited to:
MDA 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; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.

Location

Advisers

Name First provided advice Qualification and trainings
 Aaron Charles Young 2016 Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Commerce and Economics - University of Western Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending Plus Skills - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Aaron John Cross 1999 Bachelor of Business - Edith Cowan University ~ Graduate Diploma in Financial Planning - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ TASA and the TPB Code of Professional Conduct - KAPLAN
 Adam Musolino 2017 Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Bachelor of Applied Finance - University of South Australia ~ Diploma of Financial Planning - Kaplan Professional Education ~ Relevant Provider Exam - FASEA ~ Self Managed Superannuation Funds - Kaplan Professional Education
 Alberto Diez 2010 Advanced of Diploma Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor Degree - Business Administration - The University of Western Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Kaplan Professional Education ~ SMSF Specialist Adviser - SMSF Association
 Alexandra Rose Clarke 2012 Bachelor of Commerce - University of Western Australia ~ Core 1 Securities & Managed Investments Accreditation Program - Stockbrokers Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia
 Andrew Chan 2014 Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Business (Property) - University of South Australia ~ Diploma of Financial Planning - Investment Banking Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Relevant Provider Exam - FASEA
 Andrew Charles Thompson 2008 Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Ltd ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ PS146 - Tribeca Learning ~ Relevant Provider Exam - FASEA ~ TASA and the TPB Code of Professional Conduct - Kaplan Professional Education
 Andrew James Farr 1995 ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Andrew Kevin Hellier 1987 Ethics and Professionalism in Financial Advice - Kaplan ~ Masters of Financial Planning - Deakin University ~ Relevant Provider Exam - FASEA ~ SMSF SPECIALIST ADVISOR ACCREDITATION PROGRAM - SMSF ASSOCIATION ~ TAX (FINANCIAL) ADVISER - TAX PRACTITIONERS BOARD
 Andrew Nagel 2000 Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance - Kaplan Professional Education ~ Margin Lending and Geared Investments - KAPLAN ~ Relevant Provider Exam - FASEA ~ Self Managed Superannuation Funds - KAPLAN
 Andrew Stephen Costley 2006 ADA2 - KAPLAN ~ Bachelor of Commerce - Deakin University ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA
 Anthony Gerald Pope 1992 Bachelor of Arts (Accountancy) - University of South Australia ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Austrlia ~ Relevant Provider Exam - FASEA
 Anthony Grant Melville 1998 ADA1 - ASX ~ Bachelor of Business (Accounting) - Edith Cowan University ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Ben Sutton 1996 ADA2 - KAPLAN ~ Bachelor of Economics - Macquarie University ~ Margin Lending - Stockbrokers Association of Australia ~ Master of Financial Planning - KAPLAN ~ Relevant Provider Exam - FASEA
 Benjamin John Banting 2012 ADA 1 - Deakin Prime ~ DTR Register - Stockbrokers Association of Australia ~ Margin Lending and Geared Investments - Kaplan ~ RG146 - Deakin Prime ~ Relevant Provider Exam - FASEA
 Bradley Scott Berger 2006 924 Superannuation - Knowledge and Skills - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Applied Finance - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Brandon Oosthuizen 2018 Bachelor of Commerce - University of Western Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Relevant Provider Exam - FASEA
 Brenton James Newnham 2013 Advanced Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Master of Accounting - Curtin University ~ Relevant Provider Exam - FASEA ~ TASA and the TPB Code of Professional Conduct - KAPLAN
 Brett Stapleton 2005 ASX Accredited Derivatives Adviser - Tribeca ~ ASX Accredited Derivatives Adviser - Tribeca ~ Bachelor of Business - Edith Cowan University ~ Bachelor of Business - Edith Cowan University ~ Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Planning - Monarch Institute ~ Financial Adviser Exam - FASEA ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan
 Brodie William Chalwell 2024 Bachelor of Commerce (Finance and Financial Planning) - Curtin University ~ Core 1 - Securities and Managed Investments Accreditation Program - SIAA
 Cafiero Pietropaolo 1989 Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma in Financial Planning - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Cameron Murray 2004 Bachelor of Commerce Accounting and Finance - Curtin University ~ Bachelor of Commerce Accounting and Finance - Curtin University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Financial Adviser Exam - FASEA ~ Graduate Diploma in Applied Finance & Investment - Securities Institute ~ Graduate Diploma in Applied Finance & Investment - Securities Institute
 Carey Stuart Mcdowell 1994 ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ Responsible Executive Exam - Tribeca
 Cesare Daniel Scalise 2017 Bachelor of Commerce (Accounting and Taxation) - Curtin University of Technology ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ Tier 1 Margin Lending - KAPLAN ~ Tier 1 Securities and Managed Investments - Personal Advice - KAPLAN
 Charles Elliot Underwood Felton 0 Bachelor of Business - Monash University ~ Graduate Diploma of Financial Planning - Kaplan
 Charles Leonard Johnson 2010 Advanced Diploma of Financial Planning - KAPLAN ~ Economic and Legal Context for Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Financial Planning - KAPLAN ~ Relevant Provider Exam - FASEA
 Chris Hickey 2018 Bachelor of Medical Science - the University of Sydney ~ Graduate Certificate of Finance - Macquarie University ~ Relevant Provider Exam - FASEA
 Christopher Colin Kelly 2006 ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Christopher Donald Sutherland 1997 ADA1 - ASX ~ Bachelor of Arts - Economics and Finance - Macquarie University ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Christopher John Webster 2004 Bachelor of Commerce - University of Western Australia ~ FPC001B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Applied Finance - Kaplan Professional ~ Professional Diploma in Stockbroking - Deakin Prime
 Christopher Leslie Lawson 2013 Bachelor of Commerce - University of Western Australia ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Christopher Nicholas Walker 2015 Bachelor of Commerce - Deakin University ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers and Financial Advisers Association of Australia ~ Relevant Provider Exam - FASEA
 Christos Demosthenes Carapetis 2015 Bachelor of Commerce (Corporate Finance) - University of Adelaide ~ Bachelor of Economics - University of Adelaide ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Diploma of Applied Finance - Kaplan Professional ~ Relevant Provider Exam - FASEA
 Craig Douglas Whitehead 2007 Diploma of Financial Services (Financial Planning) - FINSIA ~ Graduate Certificate in Financial Planning - FINSIA ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers and Financial Advisers Association of Australia ~ Relevant Provider Exam - FASEA
 Craig George Atkinson 2000 ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Darren Jason Kirstein 2007 Accredited Derivatives Advisor (ADA) 1 - Kaplan ~ Accredited Derivatives Advisor (ADA) 2 - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Provide advice in Margin Lending - Advice Education ~ Relevant Provider Exam - FASEA
 David Barlow 2008 Bachelor of Commerce - Melbourne University ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ PS146 - RMIT Business TAFE School ~ RG146 - RMIT Business TAFE School ~ Relevant Provider Exam - FASEA
 David Kiely 1986 Graduate Certificate in Commerce Financial Planning - University of Western Sydney ~ Relevant Provider Exam - FASEA
 David Philip Walker 1998 Bachelor of Laws - The University of Western Australia ~ FPC002B Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 David William Breen 2005 ADA1 - KAPLAN ~ ADA2 - KAPLAN ~ Diploma of Financial Services (Financial Planning) - FINSIA ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 David William John Jones 1997 ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Bachelor of Commerce - The University of Western Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Responsible Executive Exam - KAPLAN
 Dominic Widlake 1988 Accredited Derivatives Adviser Level 1 - Chartered Insurance Institute G70 ~ Advanced Diploma of Financial Planning - Australian & New Zealand Institute of Insurance & Finance ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education
 Edward Orzel 1995 Bachelor of Business - Curtin University ~ Diploma of Financial Planning (partial completion) - Financial Planning Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Edward Peter Trembath 2008 Diploma of Financial Markets - FINSIA ~ Financial Adviser Exam - FASEA ~ Margin Lending and Geared Investments - Kaplan Education Pty Ltd ~ SDIA Accreditation Program Assessment - SDIA / Deakin University
 Faye Carol Longmuir 2001 Bachelor of Business (Finance) - Edith Cowan University ~ Diploma of Financial Planning - Financial Planning Association of Australia
 Garth Karl Hopkinson 2010 Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Business (Major in Finance) - Edith Cowan University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Gennaro Zerella 2010 Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Economics - University of Adelaide ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Certificate Business Administration - University of South Australia ~ SMSF Specialist Advisor - SMSF Association
 Hugo Robert Graves 1987 ADA2 - Tribeca ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Ian Richard Fausset Clarke 1987 Bachelor of Commerce - University of Western Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Paraplanning Course - Integratec ~ Retirement Planning Course - Integratec
 Jackson Geoffrey Howe 2015 Bachelor of Business - University of Tasmania ~ Foreign Exchange RG146.149 - Stockbrokers And Financial Advisers Association Limited ~ Relevant Provider Exam - FASEA
 Jacob Coulson 2024 Financial Adviser Exam - ASIC ~ Graduate Diploma of Financial Planning - KAPLAN
 Jacqueline Kate Mengler-mohr 2007 Bachelor of Laws - Bond University ~ DFP5v2 Tax for Financial Advising - KAPLAN ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA
 James Stefan Blaufelder 2014 Bachelor of Commerce (Finance and Financial Planning) - Deakin University ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Stockbrokers Association ~ Relevant Provider Exam - FASEA
 Jennie Jin Zhi Lim 2017 928 Margin Lending - Knowledge and Skills - KAPLAN ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA
 Jeremy Zehnwirth 2022 924 Superannuation & Skills - KAPLAN ~ Bachelor of Commerce (Finance) - The University of Melbourne ~ Graduate Diploma of Financial Planning - Deakin University ~ Master of Business Administration - The University of Melbourne ~ Relevant Provider Exam - FASEA
 John Anthony Antonioli 2023 Bachelor of Commerce (Finance and Financial Planning) - Curtin University ~ Core 1 - Securities and Managed Investments - Kaplan Professional ~ National Financial Adviser Exam - ASIC
 Jonathan Alister Young 1994 Bachelor of Commerce - University of Western Australia ~ Chartered Accountant - Institute of Chartered Accountants ~ Graduate Diploma in Applied Finance and Investment - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Justin Anthony Virgin 2007 ADA2 - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Masters of Business Administration - Edith Cowan University ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Kenneth Gregory Tomczak 2006 Client Engagement Skills - Kaplan ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ Superannuation - Stockbrokers Association of Australia
 Kent Michael Dixon 2010 Bachelor of Commerce - Curtin University of Technology ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ TASA and the TPB Code of Professional Conduct - KAPLAN
 Kyle Boulden 2023 Graduate Diploma of Financial Planning - Kaplan ~ National DTR Accreditation Program (Cash Equities) - Stockbrokers and Investment Advisers Association ~ National DTR Accreditation Program (Derivatives) - Stockbrokers and Investment Advisers Association
 Lauren Ashleigh Walker 2016 Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Master of Business Administration - The University of Western Australia ~ Masters of Financial Planning - Kaplan Higher Education
 Lawrence Law 2008 Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Certified Financial Planner - Financial Association Of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending - Kaplan ~ Self Managed Superannuation Funds - Kaplan
 Mark Andrew Macleod 2001 ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Graduate Diploma in Applied Finance and Investment - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Mark Hannan 2003 Bach of Business Accounting - Deakin University ~ CPA - CPA Australia ~ Diploma of Financial Planning - Int Institute of Technology ~ Margin Lending - Integrity Education Group ~ Relevant Provider Exam - FASEA
 Mark John Mcginty 2001 ADA2 - Tribeca ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Applied Finance and Investment - The Securities Institute of Australia ~ Relevant Provider Exam - FASEA ~ Superannuation - KAPLAN
 Mason Paul Brown 2016 Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Commerce (Finance and Accounting) - The University of Western Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Knowledge and Skills - KAPLAN ~ Relevant Provider Exam - FASEA
 Mathew Will Schurmann 2010 Accredited Derivatives Adviser Level 1 Exam - Kaplan Professional Education ~ Bachelor of Science (majors Maths and Oceanography) - University of New South Wales ~ Ethics Course - KAPLAN ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia
 Matteo Valentini 2023 Bachelor of Economics and Bachelor of Commerce - The University of Western Australia ~ Graduate Diploma of Chartered Accounting - Chartered Accountants ~ Relevant Provider Exam - FASEA
 Matthew Alan Wigzell 1982 ADA2 - ASX ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ Responsible Executive Exam - Tribeca
 Matthew Gavin Battye 2007 Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Commerce and Economics - Murdoch University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Matthew George Owen 2001 ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Diploma of Financial Services (Financial Planning) - Financial Planning Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockers Association of Australia ~ Relevant Provider Exam - FASEA
 Matthew Joel Norton 2005 Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Business - Edith Cowan University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Matthew Keith Harris 2018 Advanced Diploma Of Financial Planning - Kaplan ~ Bachelor of Business - University of Tasmania ~ Diploma of Financial Planning - Kaplan ~ Ethics & Professionalism - Kaplan
 Michael Andre Cerreto 1992 Diploma of Financial Planning - KAPLAN ~ Diploma of Superannuation Management - ASFA ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Financial Planning - Kaplan ~ Relevant Provider Exam - FASEA
 Michael Bowden 2000 Graduate Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ RG146 Investment Planning - Kaplan Professional Education ~ RG146 Investment Planning - Kaplan Professional Education ~ Relevant Provider Exam - FASEA ~ Relevant Provider Exam - FASEA
 Michael Brindal 2001 Bachelor of Commerce - University of Western Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Financial Planning - FINSIA ~ Relevant Provider Exam - FASEA
 Michael Frank Manford 1979 Grandfathered - ASX ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ TASA and the TPB Code of Professional Conduct - KAPLAN
 Michael Scott Hoy 1999 Level 1 Accredited Derivatives Adviser - ASX ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ PS146 Statement of Compliance - Managed Investments - Securities Institute ~ PS146 Statement of Compliance - Superannuation - Securities Institute ~ Relevant Provider Exam - FASEA
 Minsoo Nicholas Tyrrel 2016 Bachelor of Commerce - The Australian National University ~ Bachelor of Economics - The Australian National University ~ Core 1 Securities and Managed Investments Accreditation Program - Stockbrokers Association of Australia ~ Graduate Diploma of Chartered Accounting - Chartered Accountants Australia and New Zealand ~ Relevant Provider Exam - FASEA
 Murray James Mcgill 1988 Bachelor of Commerce - University of Western Australia ~ Graduate Diploma in Applied Finance and Investment - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Naomi Fraser 2006 Bachelor of Economics (Social Sciences) - University of Sydney ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - FINSIA
 Nicholas Reid 2006 Bachelor of Commerce (Accounting/ Finance) - University of Wollongong ~ Financial Services Tier 1 Compliance Program - Generic; Skills; Securities; Derivatives - RMIT University ~ Financial Services Tier 1 Compliance Program - Managed Investments - RMIT University ~ Margin Lending and Geared Investments - Kaplan Education Pty Ltd ~ Relevant Provider Exam - FASEA
 Nicholas William Brasch 1998 ADA2 - KAPLAN ~ Certificate in Financial Markets - The Securities Institute of Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers and Financial Advisers Association of Australia ~ Relevant Provider Exam - FASEA
 Nigel Read Baldwin 2002 ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - ASIC
 Peter Drew Willis 2007 Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers and Financial Advisers Association of Australia ~ Relevant Provider Exam - FASEA
 Peter King 2011 Accredited Derivatives Adviser 1 - Tribeca ~ Accredited Derivatives Adviser 2 - Kaplan Professional Education ~ Relevant Provider Exam - FASEA ~ Securities & Derivatives Industry Association Accreditation Program (SDIA) - Deakin University
 Peter Mervyn Screaigh 1999 ADA1 - ASX ~ Diploma of Financial Advising - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ Superannuation - Stockbrokers Association of Australia
 Peter Saunders 1988 Bachelor of Business (Major in Accounting) - Edith Cowan University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance and Investment - Securities Institute Education ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association ~ Superannuation Module - Royal Melbourne Institute of Technology Business TAFE School
 Peter Walsh 2007 Bachelor of Business - Swinburne University of Technology ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance - FINSIA ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Philip Parkins 2016 Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Applied Finance (Financial Market) - Kaplan Professional ~ Relevant Provider Exam - FASEA
 Philip Peter Lemon 2016 Bachelor of Finance - University of Newcastle ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending and Skills - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Philippa Jayne Weekley 1994 ADA1 - Tribeca ~ ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association ~ Relevant Provider Exam - FASEA
 Piers George Egerton-warburton 0 Bachelor of Commerce / Bachelor of Communications and Media - The University of Notre Dame ~ Financial Adviser Exam - ASIC ~ Graduate Diploma of Financial Planning - Kaplan
 Richard Hessey-tenny 2015 Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - Mentor Education ~ Fixed Income Course - FIIG ~ Self Managed Super Funds - Kaplan
 Richard Schall 2005 Bachelor of Commerce (Accounting) - University of Canberra ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Richard Taunton Saunders 2001 Core 1: Securities and Managed Investments Accreditation Program - Stockbrokers Association ~ Diploma of Financial Markets (partial completion) - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Robert Alexander Maroni 1985 Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ TASA and the TPB Code of Professional Conduct - KAPLAN
 Robert Mervyn Jackson 1995 Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Rohan John Dalziell 2017 Bachelor of Economics - University of Western Australia ~ Core 1 Securities and Managed Investments Accreditation Program - Stockbrokers Association of Australia ~ Margin Lending Plus Skills - Stockbrokers and Financial Advisers Association ~ Professional Diploma in Stockbroking - Stockbrokers and Financial Advisers Association ~ Relevant Provider Exam - FASEA
 Rohan Mcclure 2015 Bachelor of Commerce majoring in Accounting, Finance and Financial Planning - Deakin University ~ Certified Financial Planner - Financial Planning Association Of Australia ~ DFP5v3 Tax for Financial Advising - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA
 Rory JO Thomson 2000 ADA2 - ASX ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Financial Planning - KAPLAN ~ Relevant Provider Exam - FASEA
 Ross Andrew Colton 2006 Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Commerce - Curtin University ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ Responsible Executive Exam - Stockbrokers Association of Australia
 Ryan James Scarth 2018 ADA Level 1 - KAPLAN ~ Bachelor of Commerce (Economics and Finance) - Curtin University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ Tier 1 Margin Lending - Personal Advice - KAPLAN
 Sam Fimis 2007 Bachelor of Economics - La Trobe University ~ Bachelor of Legal Studies - La Trobe University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Samual Lowrie 2018 Bachelor of Commerce - Economics and Finance - Curtin University ~ FASEA Exam - FASEA
 Sandrine Marie Estelle Captieux 0 Financial Adviser Exam - ASIC ~ Graduate Diploma of Financial Planning - Kaplan
 Scott Michael Mcalister 1997 Bachelor of Commerce - University of Canberra ~ Certified Practising Accountant - CPA Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Simon Barr Goyder 2000 Bachelor of Business - Edith Cowan University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ Responsible Executive Exam - KAPLAN ~ Superannuation Accreditation Program - Stockbrokers and Financial Advisers Association of Australia
 Stephen Heppenstall 2008 ADA2 - KAPLAN ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Steven Bird 2013 Ethics and Professionalism in Financial Advice - Kaplan ~ Finance and International Business Major - LaTrobe University ~ Relevant Provider Exam - FASEA ~ Risk Management - Tribeca ~ Superannuation Managed Investments - RMIT
 Stuart Maxwell Campbell 1996 Commerce - LaTrobe University ~ RG146 - Deakin Prime
 Tarek Khaled Elmir 2007 ADA2 - KAPLAN ~ Bachelor of Commerce - The University of Melbourne ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA
 Thomas Collinson 2014 Accredited Derivatives Adviser 1 and 2 - Kaplan Professional Education ~ Bachelor of Commerce and Bachelor of Arts - University of Melbourne ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ Tier 1 Managed Investments - Personal Advice - KAPLAN
 Thomas Kenny 2018 Bachelor of Commerce/Arts - Notre Dame ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan ~ Relevant Provider Exam - FASEA ~ Tier 1 Securities - Kaplan Professional
 Timothy Burley Chapman 2008 Bachelor of Business (Marketing and Finance) - Edith Cowan University ~ Relevant Provider Exam - FASEA ~ Tier 1 Generic Knowledge - KAPLAN ~ Tier 1 Margin Lending - Personal Advice - KAPLAN ~ Tier 1 Securities and Managed Investments - Personal Advice - KAPLAN
 Timothy James Gunning 2018 ASX/ACH Responsible Executive - Kaplan ~ Core 1 - Securities and Managed Investments Accreditation - Stockbrokers and Financial Advisers Association of Australia ~ Relevant Provider Exam - FASEA ~ Superannuation and Retirement Planning - KAPLAN
 Timothy Kendall 2008 Bachelor of Commerce - University of Western Australia ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Timothy Peter Cruse 1996 Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance and Investment - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Tony Wayne Kinivan 2001 Accredited Derivatives Adviser - Level 1 - Kaplan ~ CFP Certification - Financial Planning Association of Australia ~ Diploma of Financial Advising - Securities Institute ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending and Geared Investments - Kaplan
 Trey Lee Ear 1999 ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Bachelor of Commerce - La Trobe University ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 William Kenny 2013 Bachelor of Commerce - Deakin University ~ Bachelor of Laws (Hons) - Deakin University ~ Graduate Diploma of Legal Practice - The College of Law ~ Margin Lending - Knowledge and Skills - Kaplan ~ Master of Applied Finance - Monash University
 William Lloyd Kohlen 0 Bachelor of Commerce - The University of Western Australia ~ Financial Adviser Exam - ASIC ~ Graduate Diploma of Financial Planning - Kaplan
 William Morrison 2001 DIPLOMA IN FINANCIAL MARKETS - SECURITIES INSTITUTE ~ GRADUATE DIPLOMA IN APPLIED FINANCE AND INVESTMENT - SECURITIES INSTITUTE ~ MAI769 Ethics for Financial Services - Deakin ~ MARGIN LENDING ACCREDITATION PROGRAM - DEAKIN PRIME ~ Relevant Provider Exam - ASIC