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 |
| Ayal Fernando | 2008 | 2007 - Bachelor of Commerce - - University of Melbourne ~ 2008 - Diploma Financial Planning - - Kaplan ~ 2015 - Advanced Diploma Financial Planning - - Monarch Institute ~ 2016 - Diploma Financial Planning (SMSF) - - Monarch Institute |
| Ben Charles Taylor Wauchope | 2014 | 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2017 - Advanced Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2018 - Margin Lending - Personal Advice Tier 1 - Other - Kaplan ~ 2018 - Self Managed Superannuation Funds - Other - Kaplan |
| 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 |
| David Richard Sims | 2012 | 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - International Institute of Technology ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Deborah Lee Spence | 2000 | 2004 - Diploma of Financial Planning - - Deakin University ~ 2009 - Certified Financial Planner - - FPA |
| Elizabeth Hatton | 2015 | 2008 - Master of Practising Accounting - - Monash University ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Accredited Listed Product Adviser Program (ALPA) - - Kaplan Professional ~ 2018 - Self Managed Superannuation Funds - - Kaplan Professional |
| Goran Velevski | 2013 | 2011 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - Swinburne University 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 |
| James Kingsland Harris | 2015 | 2006 - Bachelor of Commerce - - University of Tasmania ~ 2013 - Diploma of Financial Planning - - 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 |
| Kristy-lee Lambert | 2015 | 2015 - Diploma of Financial Planning - - Monarch Institute ~ 2015 - Statement of Attainment - SMSF - - Monarch Institute |
| Leif Ringshaug | 2018 | 2012 - Bachelor of Commerce - - University of Canberra ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - 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 |
| Luke Paul Dalziel-don | 2011 | 2010 - Diploma Financial Sevices (Financial Planning) FNS50804 - Diploma (AQF 5) - International Institute of Technology ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2015 - Diploma of Business - Diploma (AQF 5) - TAFE QLD ~ 2018 - Advanced Diploma Financial Planning FNS60415 - Advanced Diploma (AQF 6) - International Institute of Technology ~ 2018 - SuperConcepts & ICFS Specialist SMSF - Advanced Diploma (AQF 6) - University of Adelaide |
| Martin David Tuttlebee | 2018 | 2001 - Bachelor of Arts (Economics) - - The University of Derby ~ 2017 - Diploma of Financial Planning - - Monarch Institute |
| Matthew Paul Timms | 2018 | 2009 - Bachelor of Business (Economics) - - Queensland University of Technology (QUT) ~ 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith |
| Michael Carlton | 1991 | 2002 - Diploma Financial Planning - - Financial Planning Association ~ 2004 - SMSF - - Tribeca Learning Australia ~ 2010 - AO - Margin Lending and Geared Investments - - Kaplan Professional ~ 2012 - Limited Recourse Borrowing Advice Accreditation - - DBA Bulters Lawyers - Crowe Horwath Australia |
| 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 |
| Michelle Sharon Tate-lovery | 1989 | 1989 - Bachelor of Arts (Hons) - - University of Western Australia ~ 1993 - Diploma of Financial Planning - - Deakin University ~ 1995 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2007 - Self Managed Super Fund Accreditation - - Financial Essentials ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional |
| Natalie Alison Martin-booker | 2001 | 1998 - Bachelor of Commerce & Management - - Lincoln University ~ 2003 - Diploma of Financial Planning - - Financial Planning Association ~ 2008 - Self Managed Superannuation Funds - - Kaplan ~ 2011 - Certified Financial Planner - - Financial Planning Association ~ 2011 - Margin Lending and Geared Investments - - 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 |
| Raphael Jude Fernandez | 2016 | 2008 - Graduate Diploma in Financial Planning - - Finsia ~ 2011 - Margin Lending - - Kaplan ~ 2016 - SMSF - - Kaplan |
| Robert Rocco Daniele | 2018 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2017 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - 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 |
| Serenette Margaret Crombie | 2018 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2021 - Bachelor of Business and Commerce (Finance) - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Spiro Ross Dalaberas | 2014 | 2013 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University ~ 2015 - Self Managed Superannuation Funds - Diploma (AQF 5) - Monarch Institute ~ 2018 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2019 - Bachelor of Accounting - Bachelor Degree (AQF 7) - University of South Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Stephen Clifford Bratby | 2011 | 2007 - Bachelor of Business (Human Resource Management) - - 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 Services (Financial Planning) - - Monarch |
| 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 ~ 2017 - Graduate Certificate in Financial Planning - - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education |
| 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 - SMSF - Other - FirstTech |