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Canaccord Genuity Financial Limited

AFS License Number
239052
Name
Canaccord Genuity Financial Limited
ABN/ACN/ARBN
69008896311
Licensee issued
Feb. 1, 2004
Address
Perth, 6000, WA

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

NameFirst provided adviceQualification and trainings
 Aaron Charles Young2016Advanced 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 Cross1999Bachelor 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 Musolino2017Accredited 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 Diez2010Advanced 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
 Alexander Fleming Wylie1983ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Margin Lending - Stockbrokers Association of Australia ~ Master of Arts (Accountancy and Economics) - The University of Dundee ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia
 Andrew Charles Thompson2008Diploma 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 Farr1995ASIC 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 Hellier1987Ethics 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 Nagel2000Ethics 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 Costley2006ADA2 - KAPLAN ~ Bachelor of Commerce - Deakin University ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA
 Anthony Gerald Pope1992Bachelor 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 Melville1998ADA1 - 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 Sutton1996ADA2 - KAPLAN ~ Bachelor of Economics - Macquarie University ~ Margin Lending - Stockbrokers Association of Australia ~ Master of Financial Planning - KAPLAN ~ Relevant Provider Exam - FASEA
 Benjamin John Banting2012ADA 1 - Deakin Prime ~ DTR Register - Stockbrokers Association of Australia ~ Margin Lending and Geared Investments - Kaplan ~ RG146 - Deakin Prime ~ Relevant Provider Exam - FASEA
 Bradley Benes2013Advanced Diploma of Financial Services (Financial Planning) - Mentor Education ~ Graduate Certificate of Applied Finance - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional
 Bradley Scott Berger2006924 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 Oosthuizen2018Bachelor 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 Newnham2013Advanced 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 Stapleton2005ASX 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
 Cafiero Pietropaolo1989Certified 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 Murray2004Bachelor 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 Mcdowell1994ASIC 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 Scalise2017Bachelor 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 Leonard Johnson2010Advanced 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 Hickey2018Bachelor of Medical Science - the University of Sydney ~ Graduate Certificate of Finance - Macquarie University ~ Relevant Provider Exam - FASEA
 Christopher Colin Kelly2006ASIC 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 Sutherland1997ADA1 - 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 Webster2004Bachelor 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 Lawson2013Bachelor 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 Walker2015Bachelor 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 Carapetis2015Bachelor 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 Whitehead2007Diploma 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 Atkinson2000ASIC 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 Kirstein2007Accredited 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 Barlow2008Bachelor 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 Kiely1986Graduate Certificate in Commerce Financial Planning - University of Western Sydney ~ Relevant Provider Exam - FASEA
 David Philip Walker1998Bachelor 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 Breen2005ADA1 - KAPLAN ~ ADA2 - KAPLAN ~ Diploma of Financial Services (Financial Planning) - FINSIA ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 David William John Jones1997ASIC 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 Widlake1988Accredited Derivatives Adviser Level 1 - Chartered Insurance Institute G70 ~ Advanced Diploma of Financial Planning - Australian & New Zealand Institute of Insurance & Finance ~ Fellow Chartered Financial Practitioner - Association of Financial Advisers ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education
 Edward Orzel1995Bachelor 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 Trembath2008Diploma of Financial Markets - FINSIA ~ Financial Adviser Exam - FASEA ~ Margin Lending and Geared Investments - Kaplan Education Pty Ltd ~ SDIA Accreditation Program Assessment - SDIA / Deakin University
 Garth Karl Hopkinson2010Advanced 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
 Hugo Robert Graves1987ADA2 - 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
 Jackson Geoffrey Howe2015Bachelor of Business - University of Tasmania ~ Foreign Exchange RG146.149 - Stockbrokers And Financial Advisers Association Limited ~ Relevant Provider Exam - FASEA
 Jacqueline Kate Mengler-mohr2007Bachelor 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 Blaufelder2014Bachelor 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 Lim2017928 Margin Lending - Knowledge and Skills - KAPLAN ~ CFP 1-3 - Financial Planning Association ~ Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA
 Jeremy Zehnwirth2022924 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
 Jonathan Alister Young1994Bachelor 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 Virgin2007ADA2 - 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
 Kay Kum Yoong Lee1998ADA2 - ASX ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - FASEA ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Kenneth Gregory Tomczak2006Client 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 Dixon2010Bachelor 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
 Lauren Ashleigh Walker2016Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ 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 Certificate in Business - The University of Western Australia ~ Graduate Certificate in Business - The University of Western Australia ~ Masters of Financial Planning - Kaplan Higher Education ~ Masters of Financial Planning - Kaplan Higher Education
 Marcus Dickson Reade-brown2004Bachelor of Economics - University of Adelaide ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ TASA and TPB Code of Professional Conduct - KAPLAN
 Mark Andrew Macleod2001ASIC 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 Hannan2003Bach of Business Accounting - Deakin University ~ Diploma of Financial Planning - Int Institute of Technology ~ Grad Diploma of Applied Finance - Kaplan ~ Margin Lending - Integrity Education Group ~ Relevant Provider Exam - FASEA
 Mark John Mcginty2001ADA2 - 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
 Martin Christopher Angel1987ASIC 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 ~ Stock Market and Products Unit - FINSIA
 Mason Paul Brown2016Advanced 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
 Matthew Alan Wigzell1982ADA2 - 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 Battye2007Advanced 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 Owen2001ASIC 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 Norton2005Advanced 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
 Michael Andre Cerreto1992Diploma of Financial Planning - KAPLAN ~ Diploma of Superannuation Management - ASFA ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending and Geared Investments - KAPLAN ~ Relevant Provider Exam - FASEA
 Michael Bowden2000Graduate 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 Brindal2001Bachelor 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 Manford1979Grandfathered - 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 Robert Holmes2009ADA1 - KAPLAN ~ Diploma of Financial Services (Financial Planning) - AMP Financial Services ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ Self Managed Superannuation Funds - KAPLAN
 Michael Scott Hoy1999Level 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 Tyrrel2016Bachelor 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 Mcgill1988Bachelor 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 Fraser2006Bachelor 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 Reid2006Bachelor 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 Brasch1998ADA2 - 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 Baldwin2002ASIC 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
 Peter Drew Willis2007Diploma 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 King2011Accredited 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 Screaigh1999ADA1 - 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 Walsh2007Bachelor 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 Peter Lemon2016Bachelor 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 Weekley1994ADA1 - 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
 Richard Schall2005Bachelor 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 Saunders2001Core 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
 Richard Turner2004ADA2 - Tribeca ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Commerce (Economics) - The University of New South Wales ~ Relevant Provider Exam - FASEA
 Robert Alexander Maroni1985Certified 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 Jackson1995Certified 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 Dalziell2017Bachelor 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 Mcclure2015Bachelor 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 Thomson2000ADA2 - 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 Colton2006Accredited 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 Scarth2018ADA 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 Fimis2007Bachelor 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
 Scott Michael Mcalister1997Bachelor 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 Goyder2000Bachelor 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 Heppenstall2008ADA2 - KAPLAN ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Steven Bird2013Ethics 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 Campbell1996Commerce - LaTrobe University ~ RG146 - Deakin Prime
 Tarek Khaled Elmir2007ADA2 - 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 Collinson2014Accredited 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 Kenny2018Bachelor of Commerce/Arts - Notre Dame ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan ~ Relevant Provider Exam - FASEA ~ Tier 1 Securities - Kaplan Professional
 Thomas Roy Wigzell1997ADA2 - ASX ~ Advanced Diploma in Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA
 Timothy Burley Chapman2008Bachelor 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 Gunning2018ASX/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 Kendall2008Bachelor 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 Cruse1996Diploma 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
 Trey Lee Ear1999ASIC 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 Morrison2001DIPLOMA 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 ~ SUPERANNUATION ACCREDITATION - STOCKBROKERS ASSOCIATION OF AUSTRALIA