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.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aaron John Cross | 1999 | 1998 - Bachelor of Business - - Edith Cowan University ~ 2002 - Graduate Diploma in Financial Planning - - The Securities Institute of Australia ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2017 - TASA and the TPB Code of Professional Conduct - - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Adam Musolino | 2017 | 2014 - Bachelor of Applied Finance - - University of South Australia ~ 2016 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2017 - Accredited Listed Product Adviser Program - - Kaplan Professional Education ~ 2018 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2019 - Relevant Provider Exam - Other - FASEA |
| Alex Peter Christodoulias | 0 | 2021 - Bachelor of Finance - Bachelor Degree (AQF 7) - La Trobe Univesity ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - Financial Adviser Exam - Other - ASIC |
| Alexandra Rose Clarke | 2012 | 2011 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2012 - Core 1 Securities & Managed Investments Accreditation Program - Other - Stockbrokers Association of Australia ~ 2015 - Margin Lending Accreditation Program - Other - Stockbrokers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Andrew Chan | 2014 | 2011 - Bachelor of Business (Property) - Bachelor Degree (AQF 7) - University of South Australia ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Investment Banking Institute ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Andrew Charles Thompson | 2008 | 2004 - PS146 - - Tribeca Learning ~ 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Education Pty Ltd ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2015 - TASA and the TPB Code of Professional Conduct - - Kaplan Professional Education ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Andrew Guy Jeffery | 1987 | 2002 - PS146 Compliance Program - Superannuation Module - - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2003 - Tier 1 Adviser Compliance Solution Specialist Knowledge - Derivatives - - Securities Institute Education ~ 2014 - Foreign Exchange Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2015 - Accredited Derivatives Adviser Level 1 - ADA1 - - Stockbrokers Association of Australia / DeakinPrime |
| Andrew James Farr | 1995 | 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Andrew Kevin Hellier | 1987 | 2017 - SMSF SPECIALIST ADVISOR ACCREDITATION PROGRAM - - SMSF ASSOCIATION ~ 2017 - TAX (FINANCIAL) ADVISER - - TAX PRACTITIONERS BOARD ~ 2018 - Masters of Financial Planning - - Deakin University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2019 - Relevant Provider Exam - Other - FASEA |
| Andrew Nagel | 2000 | 2009 - Graduate Diploma of Applied Finance - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - KAPLAN ~ 2013 - Self Managed Superannuation Funds - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Andrew Stephen Costley | 2006 | 2005 - Bachelor of Commerce - - Deakin University ~ 2011 - ADA2 - - KAPLAN ~ 2017 - Diploma of Financial Planning - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Anthony Gerald Pope | 1992 | 1991 - Bachelor of Arts (Accountancy) - - University of South Australia ~ 2014 - Professional Diploma in Stockbroking - - Stockbrokers Association of Austrlia ~ 2017 - Diploma of Financial Planning - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Ben Sutton | 1996 | 1995 - Bachelor of Economics - - Macquarie University ~ 2000 - ADA2 - - KAPLAN ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2017 - Master of Financial Planning - - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Benjamin James Judd Neal | 2018 | 2018 - Bachelor of Commerce (Finance, Financial Planning) - Bachelor Degree (AQF 7) - Griffith University ~ 2018 - Bachelor of Commerce - - Griffith University ~ 2024 - Certified Financial Planner - Professional Designations - FAAA |
| Bradley Scott Berger | 2006 | 2013 - Graduate Diploma of Applied Finance - - KAPLAN ~ 2014 - 924 Superannuation - Knowledge and Skills - - KAPLAN ~ 2016 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Brandon Gary Schafer | 2025 | 2020 - Bachelor of Commerce (Double Major in Accounting & Finance) - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Brandon Oosthuizen | 2018 | 2017 - Bachelor of Commerce - - University of Western Australia ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Brenton James Newnham | 2013 | 2010 - Master of Accounting - - Curtin University ~ 2017 - Advanced Diploma of Financial Planning - - KAPLAN ~ 2018 - TASA and the TPB Code of Professional Conduct - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Brett Stapleton | 2005 | 2005 - ASX Accredited Derivatives Adviser - - Tribeca ~ 2006 - Bachelor of Business - - Edith Cowan University ~ 2015 - Diploma of Financial Planning - - Monarch Institute ~ 2020 - Financial Adviser Exam - Other - FASEA ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Brodie William Chalwell | 2024 | 2021 - Core 1 - Securities and Managed Investments Accreditation Program - Other - SIAA ~ 2022 - Bachelor of Commerce (Finance and Financial Planning) - Bachelor Degree (AQF 7) - Curtin University |
| Cafiero Pietropaolo | 1989 | 1995 - Certified Financial Planner - - Financial Planning Association ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2014 - Graduate Diploma in Financial Planning - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Cameron Murray | 2004 | 1997 - Bachelor of Commerce Accounting and Finance - Bachelor Degree (AQF 7) - Curtin University ~ 2002 - Graduate Diploma in Applied Finance & Investment - - Securities Institute ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Financial Adviser Exam - Other - FASEA |
| Carey Stuart Mcdowell | 1994 | 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2004 - Responsible Executive Exam - - Tribeca ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Cesare Daniel Scalise | 2017 | 2012 - Bachelor of Commerce (Accounting and Taxation) - - Curtin University of Technology ~ 2017 - Tier 1 Margin Lending - - KAPLAN ~ 2017 - Tier 1 Securities and Managed Investments - Personal Advice - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Charles Elliot Underwood Felton | 2024 | 2021 - Bachelor of Business - Bachelor Degree (AQF 7) - Monash University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Charles Leonard Johnson | 2010 | 2018 - Advanced Diploma of Financial Planning - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan ~ 2020 - Relevant Provider Exam - Other - FASEA ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN |
| Chris Hickey | 2018 | 2007 - Bachelor of Medical Science - - the University of Sydney ~ 2017 - Graduate Certificate of Finance - - Macquarie University ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Christopher Donald Sutherland | 1997 | 1981 - Bachelor of Arts - Economics and Finance - - Macquarie University ~ 2001 - ADA1 - - ASX ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Christopher John Webster | 2004 | 2004 - Bachelor of Commerce - - University of Western Australia ~ 2009 - Graduate Diploma of Applied Finance - - Kaplan Professional ~ 2010 - Professional Diploma in Stockbroking - - Deakin Prime ~ 2019 - FPC001B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Financial Adviser Exam - Other - FASEA |
| Christopher Leslie Lawson | 2013 | 2005 - Bachelor of Commerce - - University of Western Australia ~ 2013 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2016 - Diploma of Financial Planning - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Christopher Nicholas Walker | 2015 | 2013 - Bachelor of Commerce - - Deakin University ~ 2017 - Professional Diploma in Stockbroking - - Stockbrokers and Financial Advisers Association of Australia ~ 2018 - Diploma of Financial Planning - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Christos Demosthenes Carapetis | 2015 | 2005 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Adelaide ~ 2006 - Bachelor of Commerce (Corporate Finance) - Bachelor Degree (AQF 7) - University of Adelaide ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2009 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Clinton Mcbride | 2014 | 2008 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2010 - Core 1 Securities & Managed Investments Accreditation Program - Other - Stockbrokers Association of Australia ~ 2010 - Margin Lending Accreditation Program - Other - Stockbrokers Association of Australia ~ 2013 - Superannutation Accreditation Program - Other - Stockbrokers Association of Australia ~ 2022 - Accredited Derivative Adviser Level 1 - Other - Kaplan Professional |
| Craig Douglas Whitehead | 2007 | 2005 - Diploma of Financial Services (Financial Planning) - - FINSIA ~ 2008 - Graduate Certificate in Financial Planning - - FINSIA ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2017 - Professional Diploma in Stockbroking - - Stockbrokers and Financial Advisers Association of Australia ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Craig George Atkinson | 2000 | 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2019 - Relevant Provider Exam - Other - FASEA |
| Daniel James O'connell | 2024 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Canberra ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Western Sydney University |
| Darren Jason Kirstein | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2010 - Accredited Derivatives Advisor (ADA) 1 - - Kaplan ~ 2010 - Accredited Derivatives Advisor (ADA) 2 - - Kaplan ~ 2010 - Provide advice in Margin Lending - - Advice Education ~ 2020 - Relevant Provider Exam - Other - FASEA |
| David Alexander Thornborough | 2012 | 2008 - Tier 2 Compliance Solution - - FINSIA ~ 2013 - Generic; Securities & Skills; Superannuation & Skills - - Kaplan Education Pty Ltd ~ 2014 - Accredited Derivatives Adviser Level 1 & 2 - - Stockbrokers Association of Australia / DeakinPrime ~ 2014 - Managed Investments Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime ~ 2015 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia / DeakinPrime |
| David Barlow | 2008 | 2000 - Bachelor of Commerce - - Melbourne University ~ 2006 - PS146 - - RMIT Business TAFE School ~ 2008 - RG146 - - RMIT Business TAFE School ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2021 - Relevant Provider Exam - Other - FASEA |
| David Kiely | 1986 | 2007 - Graduate Certificate in Commerce Financial Planning - - University of Western Sydney ~ 2020 - Relevant Provider Exam - Other - FASEA |
| David Philip Walker | 1998 | 1990 - Bachelor of Laws - - The University of Western Australia ~ 2013 - Margin Lending - - Stockbrokers Association of Australia ~ 2013 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2020 - Relevant Provider Exam - Other - FASEA ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| David William Breen | 2005 | 2008 - ADA1 - - KAPLAN ~ 2008 - Diploma of Financial Services (Financial Planning) - - FINSIA ~ 2009 - ADA2 - - KAPLAN ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2020 - Relevant Provider Exam - Other - FASEA ~ 2021 - Graduate Diploma in Stockbroking and Financial Advising - Graduate Diploma (AQF 8) - Western Sydney University |
| David William John Jones | 1997 | 1975 - Bachelor of Commerce - - The University of Western Australia ~ 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2010 - Responsible Executive Exam - - KAPLAN |
| Dominic Widlake | 1988 | 2008 - Accredited Derivatives Adviser Level 1 - - Chartered Insurance Institute G70 ~ 2008 - Advanced Diploma of Financial Planning - - Australian & New Zealand Institute of Insurance & Finance ~ 2009 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Edward Orzel | 1995 | 1989 - Bachelor of Business - - Curtin University ~ 2001 - Diploma of Financial Planning (partial completion) - - Financial Planning Association ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Edward Peter Trembath | 2008 | 2007 - Diploma of Financial Markets - - FINSIA ~ 2007 - SDIA Accreditation Program Assessment - - SDIA / Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd ~ 2021 - Financial Adviser Exam - Other - FASEA |
| Emma Brickacek | 2008 | 2003 - Investment Planning 1 - Other - Financial Planning Association ~ 2003 - Risk Management - Other - Integratec ~ 2003 - Taxation Planning - Other - Financial Planning Association ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Faye Carol Longmuir | 2001 | 1998 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia |
| Garth Karl Hopkinson | 2010 | 2007 - Bachelor of Business (Major in Finance) - - Edith Cowan University ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2019 - Advanced Diploma of Financial Planning - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Gennaro Zerella | 2010 | 2007 - Bachelor of Economics - - University of Adelaide ~ 2010 - Graduate Certificate Business Administration - - University of South Australia ~ 2013 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2016 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2018 - SMSF Specialist Advisor - Professional Designations - SMSF Association |
| Glenn Stebbing | 2007 | 2005 - Bachelor of Commerce (Banking and Finance) - Bachelor Degree (AQF 7) - Macquarie University ~ 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - FINSIA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Grant Azzopardi | 2015 | 2012 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - Macquarie University ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - CFP Certification Program - Professional Designations - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Hugo Robert Graves | 1987 | 2007 - ADA2 - - Tribeca ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2017 - Diploma of Financial Planning - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Ian Richard Fausset Clarke | 1987 | 1978 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2001 - Paraplanning Course - Other - Integratec ~ 2001 - Retirement Planning Course - Other - Integratec ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jackson Geoffrey Howe | 2015 | 2011 - Bachelor of Business - - University of Tasmania ~ 2018 - Foreign Exchange RG146.149 - - Stockbrokers And Financial Advisers Association Limited ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Jacob Coulson | 2024 | 2023 - Financial Adviser Exam - Other - ASIC ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN |
| Jacqueline Kate Mengler-mohr | 2007 | 2002 - Bachelor of Laws - - Bond University ~ 2016 - Diploma of Financial Planning - - KAPLAN ~ 2017 - DFP5v2 Tax for Financial Advising - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| James Ian Lobb | 0 | 2024 - Financial Adviser Exam - Other - ASIC ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| James Stefan Blaufelder | 2014 | 2011 - Bachelor of Commerce (Finance and Financial Planning) - - Deakin University ~ 2015 - Margin Lending - - Stockbrokers Association ~ 2018 - Diploma of Financial Planning - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Jeremy Zehnwirth | 2022 | 2010 - Bachelor of Commerce (Finance) - Bachelor Degree (AQF 7) - The University of Melbourne ~ 2013 - 924 Superannuation & Skills - Other - KAPLAN ~ 2016 - Master of Business Administration - Bachelor Degree (AQF 7) - The University of Melbourne ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University ~ 2021 - Relevant Provider Exam - Other - FASEA ~ 2025 - CFP - Professional Designations - FAAA |
| John Anthony Antonioli | 2023 | 2021 - Bachelor of Commerce (Finance and Financial Planning) - Bachelor Degree (AQF 7) - Curtin University ~ 2022 - Core 1 - Securities and Managed Investments - Other - Kaplan Professional ~ 2022 - National Financial Adviser Exam - Other - ASIC |
| Jonathan Alister Young | 1994 | 1977 - Bachelor of Commerce - - University of Western Australia ~ 1980 - Chartered Accountant - - Institute of Chartered Accountants ~ 1997 - Graduate Diploma in Applied Finance and Investment - - The Securities Institute of Australia ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Kenneth Gregory Tomczak | 2006 | 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2015 - Superannuation - - Stockbrokers Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Kent Michael Dixon | 2010 | 2010 - Bachelor of Commerce - - Curtin University of Technology ~ 2013 - Certified Financial Planner - - Financial Planning Association ~ 2017 - TASA and the TPB Code of Professional Conduct - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Kyle Boulden | 2023 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2023 - National DTR Accreditation Program (Cash Equities) - Other - Stockbrokers and Investment Advisers Association ~ 2023 - National DTR Accreditation Program (Derivatives) - Other - Stockbrokers and Investment Advisers Association |
| Lauren Ashleigh Walker | 2016 | 2016 - Masters of Financial Planning - - Kaplan Higher Education ~ 2017 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2019 - Financial Adviser Exam - - FASEA ~ 2022 - Master of Business Administration - Masters Degree (AQF 9) - The University of Western Australia |
| Lawrence Law | 2008 | 2004 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Certified Financial Planner - - Financial Association Of Australia ~ 2011 - Margin Lending - - Kaplan ~ 2013 - Self Managed Superannuation Funds - - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Luca Ryan Biviano | 0 | 2020 - Bachelor of Business - Bachelor Degree (AQF 7) - Monash University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - Financial Adviser Exam - Other - ASIC |
| Mark Andrew Macleod | 2001 | 1997 - Graduate Diploma in Applied Finance and Investment - - The Securities Institute of Australia ~ 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Mark John Mcginty | 2001 | 2000 - Graduate Diploma of Applied Finance and Investment - - The Securities Institute of Australia ~ 2004 - ADA2 - - Tribeca ~ 2011 - Superannuation - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Mason Paul Brown | 2016 | 2015 - Bachelor of Commerce (Finance and Accounting) - - The University of Western Australia ~ 2015 - Margin Lending - Knowledge and Skills - - KAPLAN ~ 2019 - Advanced Diploma of Financial Planning - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Mathew Will Schurmann | 2010 | 1997 - Bachelor of Science (majors Maths and Oceanography) - Bachelor Degree (AQF 7) - University of New South Wales ~ 2010 - Professional Diploma in Stockbroking - Diploma (AQF 5) - Stockbrokers Association of Australia ~ 2011 - Accredited Derivatives Adviser Level 1 Exam - Other - Kaplan Professional Education ~ 2020 - Ethics Course - Other - KAPLAN ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Matteo Valentini | 2023 | 2011 - Bachelor of Economics and Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Western Australia ~ 2015 - Graduate Diploma of Chartered Accounting - Graduate Diploma (AQF 8) - Chartered Accountants ~ 2022 - Relevant Provider Exam - Other - FASEA |
| Matthew Damien Ntoumenopoulos | 0 | 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2024 - Financial Adviser Exam - Other - ASIC ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Matthew Gavin Battye | 2007 | 2007 - Bachelor of Commerce and Economics - - Murdoch University ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2017 - Advanced Diploma of Financial Planning - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2019 - Relevant Provider Exam - Other - FASEA |
| Matthew George Owen | 2001 | 2005 - Diploma of Financial Services (Financial Planning) - - Financial Planning Association ~ 2007 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockers Association of Australia ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Matthew Joel Norton | 2005 | 1999 - Bachelor of Business - - Edith Cowan University ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2019 - Advanced Diploma of Financial Planning - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2019 - Relevant Provider Exam - Other - FASEA |
| Matthew Keith Harris | 2018 | 2011 - Bachelor of Business - - University of Tasmania ~ 2015 - Diploma of Financial Planning - - Kaplan ~ 2019 - Advanced Diploma Of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2020 - Ethics & Professionalism - Bridging Course - Ethics - Kaplan |
| Michael Andre Cerreto | 1992 | 1996 - Diploma of Superannuation Management - - ASFA ~ 2018 - Diploma of Financial Planning - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Michael Bowden | 2000 | 2002 - RG146 Investment Planning - - Kaplan Professional Education ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Michael Clayton | 1976 | 1974 - Master of International Management - Masters Degree (AQF 9) - Thunderbird School of Global Management |
| Michael Frank Manford | 1979 | 2001 - Grandfathered - - ASX ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2017 - TASA and the TPB Code of Professional Conduct - - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Michele Leigh Kennedy | 2018 | 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN |
| Minsoo Nicholas Tyrrel | 2016 | 2010 - Bachelor of Commerce - - The Australian National University ~ 2010 - Bachelor of Economics - - The Australian National University ~ 2013 - Graduate Diploma of Chartered Accounting - - Chartered Accountants Australia and New Zealand ~ 2016 - Core 1 Securities and Managed Investments Accreditation Program - - Stockbrokers Association of Australia ~ 2019 - Relevant Provider Exam - Other - FASEA |
| Mitchell Edward Ainsley Cook | 0 | 2017 - Bachelor of Finance - Bachelor Degree (AQF 7) - Texas A&M University ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Murray James Mcgill | 1988 | 1978 - Bachelor of Commerce - - University of Western Australia ~ 1992 - Graduate Diploma in Applied Finance and Investment - - The Securities Institute of Australia ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Naomi Fraser | 2006 | 2001 - Bachelor of Economics (Social Sciences) - Bachelor Degree (AQF 7) - University of Sydney ~ 2007 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2009 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Nicholas Reid | 2006 | 2004 - Bachelor of Commerce (Accounting/ Finance) - - University of Wollongong ~ 2007 - Financial Services Tier 1 Compliance Program - Generic; Skills; Securities; Derivatives - - RMIT University ~ 2009 - Financial Services Tier 1 Compliance Program - Managed Investments - - RMIT University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Nicholas William Brasch | 1998 | 1997 - Certificate in Financial Markets - - The Securities Institute of Australia ~ 2012 - ADA2 - - KAPLAN ~ 2017 - Professional Diploma in Stockbroking - - Stockbrokers and Financial Advisers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Nigel Read Baldwin | 2002 | 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2022 - Relevant Provider Exam - Other - ASIC |
| Peter Drew Willis | 2007 | 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2016 - Diploma of Financial Planning - - KAPLAN ~ 2017 - Professional Diploma in Stockbroking - - Stockbrokers and Financial Advisers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Peter King | 2011 | 2002 - Securities & Derivatives Industry Association Accreditation Program (SDIA) - - Deakin University ~ 2007 - Accredited Derivatives Adviser 1 - - Tribeca ~ 2008 - Accredited Derivatives Adviser 2 - - Kaplan Professional Education ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Peter Mervyn Screaigh | 1999 | 2003 - Diploma of Financial Advising - - The Securities Institute of Australia ~ 2004 - ADA1 - - ASX ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2012 - Superannuation - - Stockbrokers Association of Australia ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Peter Saunders | 1988 | 1991 - Bachelor of Business (Major in Accounting) - Bachelor Degree (AQF 7) - Edith Cowan University ~ 1995 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute Education ~ 2002 - SDIA Accreditation Program Assessment - Other - Securities & Derivatives Industry Association ~ 2003 - Superannuation Module - Other - Royal Melbourne Institute of Technology Business TAFE School ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Peter Walsh | 2007 | 1999 - Bachelor of Business - - Swinburne University of Technology ~ 2008 - Graduate Diploma of Applied Finance - - FINSIA ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Philip Peter Lemon | 2016 | 2010 - Bachelor of Finance - - University of Newcastle ~ 2015 - Diploma of Financial Planning - - KAPLAN ~ 2015 - Margin Lending and Skills - - Stockbrokers Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Philippa Jayne Weekley | 1994 | 1998 - ADA1 - - Tribeca ~ 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Piers George Egerton-warburton | 2024 | 2020 - Bachelor of Commerce / Bachelor of Communications and Media - Bachelor Degree (AQF 7) - The University of Notre Dame ~ 2023 - Financial Adviser Exam - Other - ASIC ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Richard Hessey-tenny | 2015 | 2014 - Diploma of Financial Planning - - Mentor Education ~ 2015 - Fixed Income Course - - FIIG ~ 2015 - Self Managed Super Funds - - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - - Mentor Education |
| Richard Schall | 2005 | 1993 - Bachelor of Commerce (Accounting) - - University of Canberra ~ 2006 - Diploma of Financial Services (Financial Planning) - - Mentor Education ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Richard Taunton Saunders | 2001 | 2001 - Diploma of Financial Markets (partial completion) - - The Securities Institute of Australia ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2016 - Core 1: Securities and Managed Investments Accreditation Program - - Stockbrokers Association ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Robbie Calum Christie | 0 | 2018 - Bachelor of Business Leadership and Commerce - Bachelor Degree (AQF 7) - Macquarie University ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Robert Alexander Maroni | 1985 | 1996 - Diploma of Financial Planning - - Financial Planning Association ~ 2002 - Certified Financial Planner - - Financial Planning Association ~ 2017 - TASA and the TPB Code of Professional Conduct - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Robert Mervyn Jackson | 1995 | 2003 - Certified Financial Planner - - Financial Planning Association ~ 2004 - Diploma of Financial Planning - - Financial Planning Association ~ 2011 - Margin Lending - - Stockbrokers Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Rohan Mcclure | 2015 | 2006 - Bachelor of Commerce majoring in Accounting, Finance and Financial Planning - - Deakin University ~ 2012 - Certified Financial Planner - - Financial Planning Association Of Australia ~ 2017 - DFP5v3 Tax for Financial Advising - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Rory JO Thomson | 2000 | 2001 - ADA2 - - ASX ~ 2015 - Graduate Diploma of Financial Planning - - KAPLAN ~ 2017 - Certified Financial Planner - - Financial Planning Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2019 - Relevant Provider Exam - Other - FASEA |
| Ross Andrew Colton | 2006 | 2005 - Bachelor of Commerce - - Curtin University ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2014 - Responsible Executive Exam - - Stockbrokers Association of Australia ~ 2017 - Accredited Aged Care Professional - - Aged Care Steps ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Ryan James Scarth | 2018 | 2016 - Bachelor of Commerce (Economics and Finance) - - Curtin University ~ 2018 - Tier 1 Margin Lending - Personal Advice - - KAPLAN ~ 2019 - ADA Level 1 - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Sam Fimis | 2007 | 2004 - Bachelor of Legal Studies - - La Trobe University ~ 2007 - Bachelor of Economics - - La Trobe University ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Samual Lowrie | 2018 | 2017 - Bachelor of Commerce - Economics and Finance - - Curtin University ~ 2020 - FASEA Exam - Other - FASEA |
| Sandrine Marie Estelle Captieux | 2025 | 2023 - Financial Adviser Exam - Other - ASIC ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Scott Michael Mcalister | 1997 | 1996 - Bachelor of Commerce - - University of Canberra ~ 2001 - Certified Practising Accountant - - CPA Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Simon Barr Goyder | 2000 | 1999 - Bachelor of Business - - Edith Cowan University ~ 2010 - Responsible Executive Exam - - KAPLAN ~ 2018 - Superannuation Accreditation Program - - Stockbrokers and Financial Advisers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Stephen Heppenstall | 2008 | 2011 - ADA2 - - KAPLAN ~ 2011 - Margin Lending - - Stockbrokers Association of Australia ~ 2016 - Diploma of Financial Planning - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Steven Bird | 2013 | 2001 - Finance and International Business Major - Bachelor Degree (AQF 7) - LaTrobe University ~ 2003 - Risk Management - - Tribeca ~ 2004 - Superannuation Managed Investments - - RMIT ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Stuart Maxwell Campbell | 1996 | 1996 - Commerce - - LaTrobe University ~ 2002 - RG146 - - Deakin Prime |
| Tarek Khaled Elmir | 2007 | 2003 - Bachelor of Commerce - - The University of Melbourne ~ 2013 - ADA2 - - KAPLAN ~ 2016 - Diploma of Financial Planning - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2019 - Relevant Provider Exam - Other - FASEA |
| Thomas Collinson | 2014 | 2012 - Bachelor of Commerce and Bachelor of Arts - - University of Melbourne ~ 2014 - Accredited Derivatives Adviser 1 and 2 - - Kaplan Professional Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Tier 1 Managed Investments - Personal Advice - Other - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Thomas Kenny | 2018 | 2017 - Bachelor of Commerce/Arts - - Notre Dame ~ 2017 - Tier 1 Securities - - Kaplan Professional ~ 2019 - Financial Adviser Exam - Other - FASEA ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2020 - Relevant Provider Exam - Other - FASEA |
| Timothy Burley Chapman | 2008 | 2004 - Bachelor of Business (Marketing and Finance) - - Edith Cowan University ~ 2017 - Tier 1 Generic Knowledge - - KAPLAN ~ 2017 - Tier 1 Margin Lending - Personal Advice - - KAPLAN ~ 2017 - Tier 1 Securities and Managed Investments - Personal Advice - - KAPLAN ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Timothy James Gunning | 2018 | 2002 - Superannuation and Retirement Planning - Other - KAPLAN ~ 2009 - ASX/ACH Responsible Executive - - Kaplan ~ 2021 - Core 1 - Securities and Managed Investments Accreditation - Other - Stockbrokers and Financial Advisers Association of Australia ~ 2021 - Relevant Provider Exam - Other - FASEA |
| Timothy Kendall | 2008 | 2003 - Bachelor of Commerce - - University of Western Australia ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2016 - Diploma of Financial Planning - - KAPLAN ~ 2019 - Relevant Provider Exam - Other - FASEA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Tom Blenheim | 2024 | 2023 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2024 - Financial Adviser Exam - Other - ASIC |
| Tony Wayne Kinivan | 2001 | 2005 - Diploma of Financial Advising - Diploma (AQF 5) - Securities Institute ~ 2009 - Accredited Derivatives Adviser - Level 1 - Other - Kaplan ~ 2010 - CFP Certification - Professional Designations - Financial Planning Association of Australia ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Trey Lee Ear | 1999 | 1995 - Bachelor of Commerce - - La Trobe University ~ 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2021 - Relevant Provider Exam - Other - FASEA |
| William Kenny | 2013 | 2009 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2009 - Bachelor of Laws (Hons) - Bachelor Degree (AQF 7) - Deakin University ~ 2009 - Graduate Diploma of Legal Practice - Graduate Diploma (AQF 8) - The College of Law ~ 2013 - Master of Applied Finance - Masters Degree (AQF 9) - Monash University ~ 2014 - Margin Lending - Knowledge and Skills - Other - Kaplan |
| William Lloyd Kohlen | 2024 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Western Australia ~ 2023 - Financial Adviser Exam - Other - ASIC ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| William Morrison | 2001 | 1999 - DIPLOMA IN FINANCIAL MARKETS - - SECURITIES INSTITUTE ~ 2000 - GRADUATE DIPLOMA IN APPLIED FINANCE AND INVESTMENT - - SECURITIES INSTITUTE ~ 2010 - MARGIN LENDING ACCREDITATION PROGRAM - - DEAKIN PRIME ~ 2019 - MAI769 Ethics for Financial Services - Bridging Course - Ethics - Deakin ~ 2022 - Relevant Provider Exam - Other - ASIC |
| Zachary Marcus Vinten | 2022 | 2017 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |