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;
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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation; and
deal in a financial product by:
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;
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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alister Hugh Ondarchie | 2015 | 2014 - Diploma of Financial Planning - - Monarch Institute ~ 2015 - Advanced Diploma of Financial Planning - - Monarch Institute |
| Andrew Peter Bailo | 2001 | 2001 - Master of Business Administration - Masters Degree (AQF 9) - University of New England ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2009 - Graduate Certificate in Professional Accounting - Graduate Certificate (AQF 8) - University of New England ~ 2013 - Diploma of Accounting - Diploma (AQF 5) - TAFE QLD |
| Arlan Patrick Davine | 2018 | 2015 - Diploma of Financial Planning FNS50611 - Diploma (AQF 5) - Integrity Education ~ 2016 - Advanced Diploma of Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Integrity Education ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Ayal Fernando | 2008 | 2007 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2008 - Diploma Financial Planning - - Kaplan ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2016 - Diploma Financial Planning (SMSF) - - Monarch Institute ~ 2024 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Ben Charles Taylor Wauchope | 2014 | 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Western Australia ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - Margin Lending - Personal Advice Tier 1 - Other - Kaplan ~ 2018 - Self Managed Superannuation Funds - Other - Kaplan ~ 2020 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - TASA 2009 and the Code of Professional Conduct - Other - The Tax Institute |
| Curt Michael Hall | 2025 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Bond University ~ 2023 - 7823AFE Principles of Bus and Corp Law - Other - Griffith University ~ 2024 - 7106AFE Income Tax Law - Other - Griffith University ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Griffith University |
| Daniel Matthew Salerno | 2009 | 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy Pty Ltd ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2013 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - Intellitrain Pty Ltd ~ 2016 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2020 - 7269AFE/7815AFE Ethics and Professionalism - Bridging Course - Ethics - Griffith University ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Elizabeth Hatton | 2015 | 2008 - Master of Practising Accounting - Masters Degree (AQF 9) - Monash University ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2017 - TASA 2009 and the Code of Professional Conduct - Other - The Tax Institute ~ 2018 - Accredited Listed Product Adviser Program (ALPA) - - Kaplan Professional ~ 2018 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2020 - MAI769 ETHICS FOR FINANCIAL SERVICES (INTENSIVE) - Bridging Course - Ethics - Deakin University |
| Ethan Phillip Riley | 2025 | 2024 - Bachelor of Business - Major in Financial Planning - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2025 - SuperConcepts Specialist SMSF Online Course - Other - The University of Adelaide |
| Goran Velevski | 2013 | 2011 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2011 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne Education of Technology ~ 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Harpinder Singh Chipra | 2017 | 2003 - Bachelor of Commerce - - University of Delhi ~ 2010 - Master of Business Administration - - University of South Australia ~ 2015 - Diploma of Financial Planning - - Kaplan ~ 2018 - adv dip FP & SMSF - - Kaplan ~ 2021 - Ethics & Professionalism in Financial Advice - Professional Designations - Kaplan Professional |
| James Kingsland Harris | 2015 | 2006 - Bachelor of Commerce - - University of Tasmania ~ 2013 - Diploma of Financial Planning - - Kaplan Professional ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| James Nathan Petterson | 2012 | 2009 - Bachelor of Business (Finance) - - Charles Stut University ~ 2012 - Diploma of Financial Services (Financial Planning) - - International Institute of Technology (IIT) ~ 2013 - Self Managed Superannuation Funds - - Kaplan ~ 2014 - Advanced Diploma of Financial Services - - Kaplan ~ 2014 - Margin Lending and Geared Investments - - Kaplan |
| Jason Matthew Pearce | 2013 | 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2014 - Diploma of Finance and Mortgage Broking Management - - AAMC Training Group ~ 2015 - Advanced Diploma Financial Planning - - Integrity Education Group ~ 2015 - Margin Lending Accreditation - - Integrity Education Group |
| Keryn Batsilas | 2013 | 2006 - Bachelor of Applied Science - - Deakin University ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2008 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2024 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Kristy-lee Lambert | 2015 | 2015 - Diploma of Financial Planning - - Monarch Institute ~ 2015 - Statement of Attainment - SMSF - - Monarch Institute ~ 2016 - Margin Lending - Other - Kaplan Professional ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Leif Ringshaug | 2018 | 2012 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Canberra ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - TASA and the TPB Code of Professional Conduct - Other - Kaplan Professional ~ 2025 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Lucian Russ | 1997 | 2010 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy Pty Ltd ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy Pty Ltd ~ 2013 - Professional Certificate in Self-Managed Superannuation Funds - Other - The University of Adelaide ~ 2022 - TPB506FA Australian Taxation Law for Tax (financial) Advisers - Other - AAMC Training Group ~ 2022 - TPB507FA Commercial Law for Tax (financial) Advisers - Other - AAMC Training Group ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2025 - SMSF Specialist Advisor (SSA) - Professional Designations - SMSF Association |
| Martin David Tuttlebee | 2018 | 2001 - Bachelor of Arts (Economics) - - The University of Derby ~ 2017 - Diploma of Financial Planning - - Monarch Institute ~ 2022 - Super Concepts & ICFS Specialist SMSF online course - Other - The University of Adelaide ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Matthew Paul Timms | 2018 | 2009 - Bachelor of Business (Economics) - - Queensland University of Technology (QUT) ~ 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2020 - 7269AFE - Ethics and Professionalism - Bridging Course - Ethics - Griffith University ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Michael Curnow | 2015 | 2012 - Bachelor of Commerce - - University of South Australia ~ 2012 - Diploma of Financial Planning - - Kaplan ~ 2013 - Investment Products 3 - Securities, Managed Investments, Margin Lending - - Kaplan ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan ~ 2014 - Taxation Fundamentals - - Kaplan |
| Nathaniel John Webb | 2016 | 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan ~ 2018 - SMSF - - Kaplan ~ 2022 - FPC008 - Investment Advice - Other - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Paul David Whitelaw | 2003 | 1996 - Bachelor of Commerce - - University of Wollongong ~ 1999 - Diploma Financial Planning - - Deakin University ~ 2021 - FASEA EXAM STANDARD CERTIFICATION - Certificate (AQF 1-4) - FASEA |
| Rachel Lafazanis | 2009 | 1992 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - The University of New England ~ 2008 - Diploma of Financial Planning - - Kaplan Professional ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2010 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Integrity Education Group ~ 2025 - Commercial Law - Other - Kaplan Professional ~ 2025 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2025 - Tax for Financial Advising - Other - Kaplan Professional |
| Raphael Jude Fernandez | 2016 | 1996 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Madras University ~ 2008 - GraduateDiploma of Financial Planning - Graduate Diploma (AQF 8) - Finsia Education ~ 2011 - Margin Lending - - Kaplan ~ 2016 - SMSF - - Kaplan ~ 2019 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Rhys Jordan Edwards | 0 | 2015 - Bachelor of Science (Double Major in Geology and Finance) - Bachelor Degree (AQF 7) - University of Western Australia ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Robert Rocco Daniele | 2018 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2017 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - The University of Adelaide ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2024 - Specialist SMSF Online Learning Modules - Certificate (AQF 1-4) - SuperConcepts / University of Adelaide |
| Stephen Clifford Bratby | 2011 | 2007 - Bachelor of Business - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Margin Lending & Geared Investments - - Kaplan ~ 2013 - Cavendish & ICFS Specialist SMSF - - University of Adelaide ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2020 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - FPC001B - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - FPC007B - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional |
| Travis Francis Stanley | 2015 | 2015 - Diploma of Financial Planning - - Pinnacle Financial Services Academy Pty Ltd ~ 2016 - Advanced Diploma of Financial Planning - - Pinnacle Financial Services Academy Pty Ltd ~ 2016 - SMSF - Other - Pinnacle Financial Services Academy ~ 2017 - Graduate Certificate in Financial Planning - - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education ~ 2025 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Troyden Ratcliffe | 2018 | 2015 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of the Sunshine Coast ~ 2017 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University ~ 2019 - Accredited Listed Product Adviser Program (ALPA) - Other - Kaplan Professional ~ 2019 - Margin Lending Accreditation - Other - FirstTech ~ 2019 - SMSF Accreditation - Other - FirstTech ~ 2021 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |