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 2013 - Bachelor of Commerce and Economics - - University of Western Australia ~ 2015 - Margin Lending Plus Skills - - 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
 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
 Alberto Diez 2010 2001 - Bachelor Degree - Business Administration - Bachelor Degree (AQF 7) - The University of Western Sydney ~ 2009 - Advanced of Diploma Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2014 - Margin Lending - - Kaplan Professional Education ~ 2015 - SMSF Specialist Adviser - - SMSF Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan
 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 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
 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 0 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 0 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 Colin Kelly 2006 2006 - 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
 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
 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
 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 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
 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
 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 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
 Jennie Jin Zhi Lim 2017 2014 - Diploma of Financial Planning - - Pinnacle Financial Services Academy ~ 2015 - 928 Margin Lending - Knowledge and Skills - - KAPLAN ~ 2018 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 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
 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
 Justin Anthony Virgin 2007 2006 - Masters of Business Administration - - Edith Cowan University ~ 2009 - ADA2 - - KAPLAN ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2011 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2021 - 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 Hannan 2003 1992 - Bach of Business Accounting - - Deakin University ~ 1999 - CPA - Professional Designations - CPA Australia ~ 2013 - Diploma of Financial Planning - - Int Institute of Technology ~ 2016 - Margin Lending - - Integrity Education Group ~ 2020 - 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 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 Brindal 2001 1999 - Bachelor of Commerce - - University of Western Australia ~ 2002 - Graduate Diploma of Financial Planning - - FINSIA ~ 2017 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2019 - Relevant Provider Exam - Other - FASEA
 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
 Michael Scott Hoy 1999 1999 - Level 1 Accredited Derivatives Adviser - - ASX ~ 2002 - PS146 Statement of Compliance - Managed Investments - - Securities Institute ~ 2002 - PS146 Statement of Compliance - Superannuation - - Securities Institute ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2021 - Relevant Provider Exam - Other - FASEA
 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
 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 Parkins 2016 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - Master of Applied Finance (Financial Market) - Masters Degree (AQF 9) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - 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 0 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
 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 John Dalziell 2017 1990 - Bachelor of Economics - - University of Western Australia ~ 2017 - Core 1 Securities and Managed Investments Accreditation Program - - Stockbrokers Association of Australia ~ 2018 - Margin Lending Plus Skills - - Stockbrokers and Financial Advisers Association ~ 2018 - Professional Diploma in Stockbroking - - Stockbrokers and Financial Advisers Association ~ 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 0 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
 Timothy Peter Cruse 1996 2004 - Graduate Diploma of Applied Finance and Investment - - The Securities Institute of Australia ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2017 - Diploma of Financial Planning - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Relevant Provider Exam - Other - FASEA
 Tom Blenheim 0 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 0 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