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;
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;
standard margin lending facility; 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;
deposit products other than basic deposit products;
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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alex Kah Ming HO | 2018 | ADFP: Tax for Financial Advising - Kaplan Professional ~ Bachelor of Commerce (Finance and Human Resource Management) - University of New South Wales ~ TASA: Commercial Law - Kaplan Professional |
| Andrew Bowker | 2018 | Advanced Diploma of Financial Planning - Mentor Education ~ Baccalaureus Scientiae (Bachelor of Science) - University of Johannesburg (South Africa) ~ Diploma of Financial Planning - Mentor Education ~ Postgraduate Diploma in Financial Planning - University of the Free State (South Africa) ~ Self Managed Superannuation Fund - Mentor Education |
| Andrew Charles Moore | 2010 | Advanced Diploma in Financial Planning - Pinnacle ~ Advanced Diploma in Financial Planning - Pinnacle ~ Bachelor of Business (Banking and Finance) - Queensland University of Technology ~ Bachelor of Business (Banking and Finance) - Queensland University of Technology ~ Diploma of Financial Services - Kaplan ~ Diploma of Financial Services - Kaplan |
| Benjamin Peter Frawley | 1999 | Bachelor of Arts - Macquarie University ~ CFP - FPA ~ Diploma of Financial Planning - Financial Planning Association ~ FASEA Exam - FASEA |
| Berenice Roberts | 2001 | CFP - Financial Planning Association ~ Diploma of Financial Planning - Deakin University |
| Bradley Neville George | 2014 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - International Institute of Technology (IIT) ~ FASEA - FASEA |
| Christopher Leo Kelly | 2005 | Certificate of Completion Margin Lending and Geared Investments - Kaplan ~ Diploma of Fianncial Markets - Securities Institue ~ Diploma of Financial Services (Financial Planning) - AMP Financial Services ~ Graduate Diploma of Financial Planning - FINSIA |
| Craig Allen Sinclair | 1991 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Diploma of Financial Services (Financial Planning) - Tribeca (Kaplan Professional) |
| David Allan Austen Coulton | 2011 | Advanced Diploma of Financial Planning - Mentor Education ~ Advanced Diploma of Financial Planning - Mentor Education ~ Certificate IV in Financial Services - Australis College (formerly Intellitrain) ~ Certificate IV in Financial Services - Australis College (formerly Intellitrain) ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology (IIT) ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology (IIT) |
| Dominique Bergel-grant | 2004 | Bachelor of Economics - University of Sydney ~ Diploma of Finance and Mortgage Broking Management - Kaplan Professional Education ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Elizabeth Jane Powdrell | 1999 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Heath Alexander Hebenton | 1996 | CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Margin Lending and Geared Investments - Kaplan Professional |
| Ian Thomas Spedding | 1993 | Certified Financial Planner (CFP) - Financial Planning Association ~ DFP 8 - Financial Plan Construction & Review - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association |
| Jarrod Bailey | 2020 | Advanced Diploma of Financial Planning - Mentor Education ~ Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Services - Mentor Education ~ Diploma of Financial Services - Mentor Education ~ FASEA - FASEA ~ FASEA - FASEA ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| John Michael Core | 1976 | Advanced Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Insurance Broking) - National Insurance Brokers Association (NIBA) ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Jonathon Gregory Mannion | 2008 | Bachelor of Commerce - University of South Africa (South Africa) ~ Certified Financial Planner - Financial Planning Association of Australia ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Joseph James Dagg | 2011 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Mathematics - University of Newcastle ~ Diploma of Financial Services (Financial Planning) - AMP Financial Services |
| Justin Anthony Langford | 2008 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology (IIT) ~ Diploma of Financial Services - GWM ThreeSixty ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Katarzyna Maria Urbanik | 2007 | Advanced Diploma of Financial Services - Kaplan ~ Bachelor of Business Management - The University of Queensland ~ Diploma of Financial Services - Kaplan ~ Margin Lending and Geared Investments - Kaplan |
| Laurence Roy Smith | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business - Qld University of Technology ~ Super Concepts & ICFS Specialist SMSF online course - The University of Adelaide |
| Lyle Evan Alexis Filer | 2015 | Advanced Diploma of Financial Planning - Mentor Education ~ Commercial LAw for Tax Agents - International Institute of Technology ~ FASEA Exam - FASEA ~ Masters of Financial Planning - KAPLAN ~ SMSF Statement of Attainment - Mentor Education |
| Matthew Dragovic | 2011 | Advanced Diploma of Financial Services - Kaplan Professional Education ~ Bachelor of Commerce - University of Wollongong ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Michael Gilles Basset | 2001 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Services - Kaplan Professional (formerly Tribeca) ~ Diploma of Financial Services (Financial Planning) - Tribeca (Kaplan Professional) ~ Self Managed Superannuation Funds - Kaplan Professional |
| Nimashan Tambyah | 2006 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Business - Swinburne University ~ Margin Lending (subject) - Kaplan Professional Education ~ Master of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Peter John Donovan | 2006 | Bachelor of Commerce - Griffith University ~ Diploma of Financial Planning - Deakin University |
| QI Ding | 2004 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology |
| Rafic Hallak | 2003 | Bachelor of Business (Accounting and Finance) - University of Technology Sydney ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Policy Statement 146 Knowledge Assessment (subject) - Integratec ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Robert Castro | 2005 | Bachelor of Business - University of Technology, Sydney ~ Certified Financial Planner - Financial Planning Association ~ Graduate Diploma of Financial Planning - Securities Institute ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Ross Leslie Ole | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Commerce - University of Queensland ~ Diploma of Financial Services (Financial Planning) FNS50804 - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Sara Ann Millard | 1993 | Advanced Diploma of Financial Services (Financial Planning) FNB60402 - Tribeca ~ Certificate IV in Finance and Mortgage Broking FNS40811 - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Specialist SMSF Course - Cavendish |
| Scott William O'donnell | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Bachelor of Business (Accounting) - Griffith University ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Master of Commerce - University of Southern Queensland |
| Sophia Maree Atkinson | 2000 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University ~ Life Risk Specialist - Financial Planning Association Australia ~ Master of Applied Finance (Estate Planning) - Charles Surt University ~ Self Managed Superannuation Funds - Kaplan Professional |
| Thomas Edward Scardifield | 2013 | Advanced Diploma Financial Planning - Kaplan Professional ~ Diploma Financial Planning - Kaplan Professional ~ FASEA Exam - FASEA ~ Self Managed Superannuation Funds - Kaplan Professional |
| Timothy John Archibald | 2014 | Bachelor of Business (Banking and Finance) - Queensland University of Technology ~ Diploma of Financial Planning - Kaplan Professional |
| Vera GU | 2009 | Advanced Diploma - Financial Planning - Kaplan ~ Bachelor Degree - Commerce - University of New South Wales ~ CFP - Certified Financial Planner - Financial Planning Association of Australia |
| Wisam Sarayeldin | 2014 | Advanced Diploma Of Financial Planning - Kaplan Professional Education ~ Bachelor of Business and Commerce (Applied Finance) - University of Western Sydney ~ Diploma Of Financial Planning - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education ~ Tier 1 Margin Lending - Personal Advice - Kaplan Professional Education |