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 Charles Young | 2016 | Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Commerce and Economics - University of Western Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending Plus Skills - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Aaron John Cross | 1999 | Bachelor of Business - Edith Cowan University ~ Graduate Diploma in Financial Planning - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ TASA and the TPB Code of Professional Conduct - KAPLAN |
| Adam Musolino | 2017 | Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Bachelor of Applied Finance - University of South Australia ~ Diploma of Financial Planning - Kaplan Professional Education ~ Relevant Provider Exam - FASEA ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Alberto Diez | 2010 | Advanced of Diploma Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor Degree - Business Administration - The University of Western Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Kaplan Professional Education ~ SMSF Specialist Adviser - SMSF Association |
| Andrew Chan | 2014 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Business (Property) - University of South Australia ~ Diploma of Financial Planning - Investment Banking Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Relevant Provider Exam - FASEA |
| Andrew Charles Thompson | 2008 | Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Ltd ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ PS146 - Tribeca Learning ~ Relevant Provider Exam - FASEA ~ TASA and the TPB Code of Professional Conduct - Kaplan Professional Education |
| Andrew James Farr | 1995 | ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Andrew Kevin Hellier | 1987 | Ethics and Professionalism in Financial Advice - Kaplan ~ Masters of Financial Planning - Deakin University ~ Relevant Provider Exam - FASEA ~ SMSF SPECIALIST ADVISOR ACCREDITATION PROGRAM - SMSF ASSOCIATION ~ TAX (FINANCIAL) ADVISER - TAX PRACTITIONERS BOARD |
| Andrew Nagel | 2000 | Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance - Kaplan Professional Education ~ Margin Lending and Geared Investments - KAPLAN ~ Relevant Provider Exam - FASEA ~ Self Managed Superannuation Funds - KAPLAN |
| Andrew Stephen Costley | 2006 | ADA2 - KAPLAN ~ Bachelor of Commerce - Deakin University ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA |
| Anthony Gerald Pope | 1992 | Bachelor of Arts (Accountancy) - University of South Australia ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Austrlia ~ Relevant Provider Exam - FASEA |
| Anthony Grant Melville | 1998 | ADA1 - ASX ~ Bachelor of Business (Accounting) - Edith Cowan University ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Ben Sutton | 1996 | ADA2 - KAPLAN ~ Bachelor of Economics - Macquarie University ~ Margin Lending - Stockbrokers Association of Australia ~ Master of Financial Planning - KAPLAN ~ Relevant Provider Exam - FASEA |
| Benjamin John Banting | 2012 | ADA 1 - Deakin Prime ~ DTR Register - Stockbrokers Association of Australia ~ Margin Lending and Geared Investments - Kaplan ~ RG146 - Deakin Prime ~ Relevant Provider Exam - FASEA |
| Bradley Benes | 2013 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education ~ Graduate Certificate of Applied Finance - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Bradley Scott Berger | 2006 | 924 Superannuation - Knowledge and Skills - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Applied Finance - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Brandon Oosthuizen | 2018 | Bachelor of Commerce - University of Western Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Relevant Provider Exam - FASEA |
| Brenton James Newnham | 2013 | Advanced Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Master of Accounting - Curtin University ~ Relevant Provider Exam - FASEA ~ TASA and the TPB Code of Professional Conduct - KAPLAN |
| Brett Stapleton | 2005 | ASX Accredited Derivatives Adviser - Tribeca ~ ASX Accredited Derivatives Adviser - Tribeca ~ Bachelor of Business - Edith Cowan University ~ Bachelor of Business - Edith Cowan University ~ Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Planning - Monarch Institute ~ Financial Adviser Exam - FASEA ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
| Cafiero Pietropaolo | 1989 | Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma in Financial Planning - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Cameron Murray | 2004 | Bachelor of Commerce Accounting and Finance - Curtin University ~ Bachelor of Commerce Accounting and Finance - Curtin University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Financial Adviser Exam - FASEA ~ Graduate Diploma in Applied Finance & Investment - Securities Institute ~ Graduate Diploma in Applied Finance & Investment - Securities Institute |
| Carey Stuart Mcdowell | 1994 | ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ Responsible Executive Exam - Tribeca |
| Cesare Daniel Scalise | 2017 | Bachelor of Commerce (Accounting and Taxation) - Curtin University of Technology ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ Tier 1 Margin Lending - KAPLAN ~ Tier 1 Securities and Managed Investments - Personal Advice - KAPLAN |
| Charles Leonard Johnson | 2010 | Advanced Diploma of Financial Planning - KAPLAN ~ Economic and Legal Context for Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Financial Planning - KAPLAN ~ Relevant Provider Exam - FASEA |
| Chris Hickey | 2018 | Bachelor of Medical Science - the University of Sydney ~ Graduate Certificate of Finance - Macquarie University ~ Relevant Provider Exam - FASEA |
| Christopher Colin Kelly | 2006 | ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Christopher Donald Sutherland | 1997 | ADA1 - ASX ~ Bachelor of Arts - Economics and Finance - Macquarie University ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Christopher John Webster | 2004 | Bachelor of Commerce - University of Western Australia ~ FPC001B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Applied Finance - Kaplan Professional ~ Professional Diploma in Stockbroking - Deakin Prime |
| Christopher Leslie Lawson | 2013 | Bachelor of Commerce - University of Western Australia ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Christopher Nicholas Walker | 2015 | Bachelor of Commerce - Deakin University ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers and Financial Advisers Association of Australia ~ Relevant Provider Exam - FASEA |
| Christos Demosthenes Carapetis | 2015 | Bachelor of Commerce (Corporate Finance) - University of Adelaide ~ Bachelor of Economics - University of Adelaide ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Diploma of Applied Finance - Kaplan Professional ~ Relevant Provider Exam - FASEA |
| Craig Douglas Whitehead | 2007 | Diploma of Financial Services (Financial Planning) - FINSIA ~ Graduate Certificate in Financial Planning - FINSIA ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers and Financial Advisers Association of Australia ~ Relevant Provider Exam - FASEA |
| Craig George Atkinson | 2000 | ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Darren Jason Kirstein | 2007 | Accredited Derivatives Advisor (ADA) 1 - Kaplan ~ Accredited Derivatives Advisor (ADA) 2 - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Provide advice in Margin Lending - Advice Education ~ Relevant Provider Exam - FASEA |
| David Barlow | 2008 | Bachelor of Commerce - Melbourne University ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ PS146 - RMIT Business TAFE School ~ RG146 - RMIT Business TAFE School ~ Relevant Provider Exam - FASEA |
| David Kiely | 1986 | Graduate Certificate in Commerce Financial Planning - University of Western Sydney ~ Relevant Provider Exam - FASEA |
| David Philip Walker | 1998 | Bachelor of Laws - The University of Western Australia ~ FPC002B Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| David William Breen | 2005 | ADA1 - KAPLAN ~ ADA2 - KAPLAN ~ Diploma of Financial Services (Financial Planning) - FINSIA ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| David William John Jones | 1997 | ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Bachelor of Commerce - The University of Western Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Responsible Executive Exam - KAPLAN |
| Dominic Widlake | 1988 | Accredited Derivatives Adviser Level 1 - Chartered Insurance Institute G70 ~ Advanced Diploma of Financial Planning - Australian & New Zealand Institute of Insurance & Finance ~ Fellow Chartered Financial Practitioner - Association of Financial Advisers ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Edward Orzel | 1995 | Bachelor of Business - Curtin University ~ Diploma of Financial Planning (partial completion) - Financial Planning Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Edward Peter Trembath | 2008 | Diploma of Financial Markets - FINSIA ~ Financial Adviser Exam - FASEA ~ Margin Lending and Geared Investments - Kaplan Education Pty Ltd ~ SDIA Accreditation Program Assessment - SDIA / Deakin University |
| Garth Karl Hopkinson | 2010 | Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Business (Major in Finance) - Edith Cowan University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Gennaro Zerella | 2010 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Economics - University of Adelaide ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Certificate Business Administration - University of South Australia ~ SMSF Specialist Advisor - SMSF Association |
| Hugo Robert Graves | 1987 | ADA2 - Tribeca ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Jackson Geoffrey Howe | 2015 | Bachelor of Business - University of Tasmania ~ Foreign Exchange RG146.149 - Stockbrokers And Financial Advisers Association Limited ~ Relevant Provider Exam - FASEA |
| Jacqueline Kate Mengler-mohr | 2007 | Bachelor of Laws - Bond University ~ DFP5v2 Tax for Financial Advising - KAPLAN ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA |
| James Stefan Blaufelder | 2014 | Bachelor of Commerce (Finance and Financial Planning) - Deakin University ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Stockbrokers Association ~ Relevant Provider Exam - FASEA |
| Jennie Jin Zhi Lim | 2017 | 928 Margin Lending - Knowledge and Skills - KAPLAN ~ 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 Zehnwirth | 2022 | 924 Superannuation & Skills - KAPLAN ~ Bachelor of Commerce (Finance) - The University of Melbourne ~ Graduate Diploma of Financial Planning - Deakin University ~ Master of Business Administration - The University of Melbourne ~ Relevant Provider Exam - FASEA |
| John Anthony Antonioli | 0 | Bachelor of Commerce (Finance and Financial Planning) - Curtin University ~ Core 1 - Securities and Managed Investments - Kaplan Professional ~ National Financial Adviser Exam - ASIC |
| Jonathan Alister Young | 1994 | Bachelor of Commerce - University of Western Australia ~ Chartered Accountant - Institute of Chartered Accountants ~ Graduate Diploma in Applied Finance and Investment - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Justin Anthony Virgin | 2007 | ADA2 - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Masters of Business Administration - Edith Cowan University ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Kay Kum Yoong Lee | 1998 | ADA2 - 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 Tomczak | 2006 | Client Engagement Skills - Kaplan ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ Superannuation - Stockbrokers Association of Australia |
| Kent Michael Dixon | 2010 | Bachelor of Commerce - Curtin University of Technology ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ TASA and the TPB Code of Professional Conduct - KAPLAN |
| Lauren Ashleigh Walker | 2016 | Certified 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 ~ Master of Business Administration - The University of Western Australia ~ Master of Business Administration - The University of Western Australia ~ Masters of Financial Planning - Kaplan Higher Education ~ Masters of Financial Planning - Kaplan Higher Education |
| Mark Andrew Macleod | 2001 | ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Graduate Diploma in Applied Finance and Investment - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Mark Hannan | 2003 | Bach of Business Accounting - Deakin University ~ CPA - CPA Australia ~ Diploma of Financial Planning - Int Institute of Technology ~ Margin Lending - Integrity Education Group ~ Relevant Provider Exam - FASEA |
| Mark John Mcginty | 2001 | ADA2 - Tribeca ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Applied Finance and Investment - The Securities Institute of Australia ~ Relevant Provider Exam - FASEA ~ Superannuation - KAPLAN |
| Mason Paul Brown | 2016 | Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Commerce (Finance and Accounting) - The University of Western Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Knowledge and Skills - KAPLAN ~ Relevant Provider Exam - FASEA |
| Matteo Valentini | 2023 | Bachelor of Economics and Bachelor of Commerce - The University of Western Australia ~ Graduate Diploma of Chartered Accounting - Chartered Accountants ~ Relevant Provider Exam - FASEA |
| Matthew Alan Wigzell | 1982 | ADA2 - ASX ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ Responsible Executive Exam - Tribeca |
| Matthew Gavin Battye | 2007 | Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Commerce and Economics - Murdoch University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Matthew George Owen | 2001 | ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Diploma of Financial Services (Financial Planning) - Financial Planning Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockers Association of Australia ~ Relevant Provider Exam - FASEA |
| Matthew Joel Norton | 2005 | Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Business - Edith Cowan University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Matthew Keith Harris | 2018 | Advanced Diploma Of Financial Planning - Kaplan ~ Advanced Diploma Of Financial Planning - Kaplan ~ Bachelor of Business - University of Tasmania ~ Bachelor of Business - University of Tasmania ~ Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Ethics & Professionalism - Kaplan ~ Ethics & Professionalism - Kaplan |
| Michael Andre Cerreto | 1992 | Diploma of Financial Planning - KAPLAN ~ Diploma of Superannuation Management - ASFA ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Financial Planning - Kaplan ~ Relevant Provider Exam - FASEA |
| Michael Bowden | 2000 | Graduate Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ RG146 Investment Planning - Kaplan Professional Education ~ RG146 Investment Planning - Kaplan Professional Education ~ Relevant Provider Exam - FASEA ~ Relevant Provider Exam - FASEA |
| Michael Brindal | 2001 | Bachelor of Commerce - University of Western Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Financial Planning - FINSIA ~ Relevant Provider Exam - FASEA |
| Michael Frank Manford | 1979 | Grandfathered - ASX ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ TASA and the TPB Code of Professional Conduct - KAPLAN |
| Michael Robert Holmes | 2009 | ADA1 - 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 Hoy | 1999 | Level 1 Accredited Derivatives Adviser - ASX ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ PS146 Statement of Compliance - Managed Investments - Securities Institute ~ PS146 Statement of Compliance - Superannuation - Securities Institute ~ Relevant Provider Exam - FASEA |
| Minsoo Nicholas Tyrrel | 2016 | Bachelor of Commerce - The Australian National University ~ Bachelor of Economics - The Australian National University ~ Core 1 Securities and Managed Investments Accreditation Program - Stockbrokers Association of Australia ~ Graduate Diploma of Chartered Accounting - Chartered Accountants Australia and New Zealand ~ Relevant Provider Exam - FASEA |
| Murray James Mcgill | 1988 | Bachelor of Commerce - University of Western Australia ~ Graduate Diploma in Applied Finance and Investment - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Naomi Fraser | 2006 | Bachelor of Economics (Social Sciences) - University of Sydney ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - FINSIA |
| Nicholas Reid | 2006 | Bachelor of Commerce (Accounting/ Finance) - University of Wollongong ~ Financial Services Tier 1 Compliance Program - Generic; Skills; Securities; Derivatives - RMIT University ~ Financial Services Tier 1 Compliance Program - Managed Investments - RMIT University ~ Margin Lending and Geared Investments - Kaplan Education Pty Ltd ~ Relevant Provider Exam - FASEA |
| Nicholas William Brasch | 1998 | ADA2 - KAPLAN ~ Certificate in Financial Markets - The Securities Institute of Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers and Financial Advisers Association of Australia ~ Relevant Provider Exam - FASEA |
| Nigel Read Baldwin | 2002 | ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - ASIC |
| Peter Drew Willis | 2007 | Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers and Financial Advisers Association of Australia ~ Relevant Provider Exam - FASEA |
| Peter King | 2011 | Accredited Derivatives Adviser 1 - Tribeca ~ Accredited Derivatives Adviser 2 - Kaplan Professional Education ~ Relevant Provider Exam - FASEA ~ Securities & Derivatives Industry Association Accreditation Program (SDIA) - Deakin University |
| Peter Mervyn Screaigh | 1999 | ADA1 - ASX ~ Diploma of Financial Advising - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ Superannuation - Stockbrokers Association of Australia |
| Peter Walsh | 2007 | Bachelor of Business - Swinburne University of Technology ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance - FINSIA ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Philip Parkins | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Applied Finance (Financial Market) - Kaplan Professional ~ Relevant Provider Exam - FASEA |
| Philip Peter Lemon | 2016 | Bachelor of Finance - University of Newcastle ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending and Skills - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Philippa Jayne Weekley | 1994 | ADA1 - Tribeca ~ ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association ~ Relevant Provider Exam - FASEA |
| Richard Hessey-tenny | 2015 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - Mentor Education ~ Fixed Income Course - FIIG ~ Self Managed Super Funds - Kaplan |
| Richard Schall | 2005 | Bachelor of Commerce (Accounting) - University of Canberra ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Richard Taunton Saunders | 2001 | Core 1: Securities and Managed Investments Accreditation Program - Stockbrokers Association ~ Diploma of Financial Markets (partial completion) - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Richard Turner | 2004 | ADA2 - 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 Maroni | 1985 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ TASA and the TPB Code of Professional Conduct - KAPLAN |
| Robert Mervyn Jackson | 1995 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Rohan John Dalziell | 2017 | Bachelor of Economics - University of Western Australia ~ Core 1 Securities and Managed Investments Accreditation Program - Stockbrokers Association of Australia ~ Margin Lending Plus Skills - Stockbrokers and Financial Advisers Association ~ Professional Diploma in Stockbroking - Stockbrokers and Financial Advisers Association ~ Relevant Provider Exam - FASEA |
| Rohan Mcclure | 2015 | Bachelor of Commerce majoring in Accounting, Finance and Financial Planning - Deakin University ~ Certified Financial Planner - Financial Planning Association Of Australia ~ DFP5v3 Tax for Financial Advising - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA |
| Rory JO Thomson | 2000 | ADA2 - ASX ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Financial Planning - KAPLAN ~ Relevant Provider Exam - FASEA |
| Ross Andrew Colton | 2006 | Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Commerce - Curtin University ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA ~ Responsible Executive Exam - Stockbrokers Association of Australia |
| Ryan James Scarth | 2018 | ADA Level 1 - KAPLAN ~ Bachelor of Commerce (Economics and Finance) - Curtin University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ Tier 1 Margin Lending - Personal Advice - KAPLAN |
| Sam Fimis | 2007 | Bachelor of Economics - La Trobe University ~ Bachelor of Legal Studies - La Trobe University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Samual Lowrie | 2018 | Bachelor of Commerce - Economics and Finance - Curtin University ~ FASEA Exam - FASEA |
| Scott Michael Mcalister | 1997 | Bachelor of Commerce - University of Canberra ~ Certified Practising Accountant - CPA Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Simon Barr Goyder | 2000 | Bachelor of Business - Edith Cowan University ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ Responsible Executive Exam - KAPLAN ~ Superannuation Accreditation Program - Stockbrokers and Financial Advisers Association of Australia |
| Stephen Heppenstall | 2008 | ADA2 - KAPLAN ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Steven Bird | 2013 | Ethics and Professionalism in Financial Advice - Kaplan ~ Finance and International Business Major - LaTrobe University ~ Relevant Provider Exam - FASEA ~ Risk Management - Tribeca ~ Superannuation Managed Investments - RMIT |
| Tarek Khaled Elmir | 2007 | ADA2 - KAPLAN ~ Bachelor of Commerce - The University of Melbourne ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA |
| Thomas Collinson | 2014 | Accredited Derivatives Adviser 1 and 2 - Kaplan Professional Education ~ Bachelor of Commerce and Bachelor of Arts - University of Melbourne ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Relevant Provider Exam - FASEA ~ Tier 1 Managed Investments - Personal Advice - KAPLAN |
| Thomas Kenny | 2018 | Bachelor of Commerce/Arts - Notre Dame ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan ~ Relevant Provider Exam - FASEA ~ Tier 1 Securities - Kaplan Professional |
| Timothy Burley Chapman | 2008 | Bachelor of Business (Marketing and Finance) - Edith Cowan University ~ Relevant Provider Exam - FASEA ~ Tier 1 Generic Knowledge - KAPLAN ~ Tier 1 Margin Lending - Personal Advice - KAPLAN ~ Tier 1 Securities and Managed Investments - Personal Advice - KAPLAN |
| Timothy James Gunning | 2018 | ASX/ACH Responsible Executive - Kaplan ~ Core 1 - Securities and Managed Investments Accreditation - Stockbrokers and Financial Advisers Association of Australia ~ Relevant Provider Exam - FASEA ~ Superannuation and Retirement Planning - KAPLAN |
| Timothy Kendall | 2008 | Bachelor of Commerce - University of Western Australia ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Timothy Peter Cruse | 1996 | Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance and Investment - The Securities Institute of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| Trey Lee Ear | 1999 | ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Bachelor of Commerce - La Trobe University ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Relevant Provider Exam - FASEA |
| William Morrison | 2001 | DIPLOMA IN FINANCIAL MARKETS - SECURITIES INSTITUTE ~ GRADUATE DIPLOMA IN APPLIED FINANCE AND INVESTMENT - SECURITIES INSTITUTE ~ MAI769 Ethics for Financial Services - Deakin ~ MARGIN LENDING ACCREDITATION PROGRAM - DEAKIN PRIME ~ Relevant Provider Exam - ASIC |