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;
general insurance 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;
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
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;
general insurance 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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Amber Ling | 2017 | 2003 - Bachelor of Commerce - - University of Newcastle ~ 2005 - Graduate Diploma in Chartered Accounting - - Chartered Accountants ANZ ~ 2016 - Certificate IV in Finance & Mortgage Broking - - Kaplan Professional Education ~ 2016 - Diploma of Financial Planning - - Kaplan Professional Education |
| Anthony Neil Tabrah | 2015 | 2001 - Business law BAO1105 - Other - Victoria University ~ 2004 - Bachelor of Business (Banking & Finance) - Bachelor Degree (AQF 7) - Victoria University ~ 2004 - Taxation law and practice BLO2206 - Other - Victoria University ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Investment Banking Institute ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Benjamin Richard Letham | 2010 | 2004 - Bachelor of Finance - Bachelor Degree (AQF 7) - University of Newcastle ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments Statement of Attainment - - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds Statement of Attainment - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Catherine Maryanne Parker | 2016 | 2011 - Bachelor of Commerce (Financial Accounting & Finance) - - University of Newcastle ~ 2013 - Graduate Diploma Chartered Accounting - - Institute of Chartered Accountants ~ 2015 - Certificate IV in Finance & Mortgage Broking - - Kaplan Professional Education ~ 2015 - Diploma in Financial Planning - - Kaplan Professional |
| Craig Mark Semmler | 2011 | 2010 - Bachelor of Commerce - - University of Newcastle ~ 2011 - Justice of the Peace NSW - - Attorney General & Justice ~ 2013 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2014 - Margin Lending & Geared Investments Accreditation - - Kaplan ~ 2014 - Self Managed Super Fund Accreditation - - Kaplan |
| David Reynell Mcrae | 2018 | 2007 - Bachelor of Business - - Victoria University ~ 2014 - Cert IV Mortgage Broking - Other - Kaplan ~ 2016 - Diploma of Financial Planning - - Mentor Education ~ 2025 - Ethics & professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Gregory Keith Condon | 2009 | 2009 - Diploma of Financial Services (Financial Planning) - - Financial Services Training & Assessment |
| Harrison David Crook | 0 | 2020 - Bachelor of Commerce with Distinction - Bachelor Degree (AQF 7) - The University of Newcastle ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Jace Ashley Pedonese | 2017 | 1999 - Bachelor of Commerce - - University of Newcastle ~ 2015 - Diploma of Financial Planning - - Kaplan Professoinal Education ~ 2016 - Certificate IV in Finance & Mortgage Broking - - Kaplan Professional Education |
| Jarrod Heath Bramble | 2010 | 1997 - Bachelor of Commerce - - University of Newcastle ~ 1999 - Chartered Accountant - - Institute of Chartered Accountants ~ 2010 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association ~ 2012 - Chartered Tax Adviser - - Tax Institute ~ 2012 - Diploma of Financial Services - - Kaplan |
| Jason Campbell-atkinson | 2018 | 2018 - Bachelor of Business (International Business & Management) - - University of Newcastle ~ 2018 - Diploma of Financial Planning (Module 1) - - Kaplan ~ 2018 - Diploma of Financial Planning (Module 2) - - Kaplan |
| Justin Beeforth | 2016 | 2014 - Bachelor of Business - - University of New England ~ 2014 - Bachelor of Economics - - University of New England ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Lincoln Armstrong Kallady | 2014 | 2004 - Diploma of Commerce - - Melbourne Instititute of Business and Technology ~ 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Fundamentals of Law BULAW1502 - Other - University of Ballarat ~ 2013 - Bachelor of COmmerce - - University of Ballarat ~ 2017 - CFP Certification Program (CFP1 + CFP2 + CFP3 + CFP4 + CFPC (2016 on) - Other - Financial Planning Association ~ 2025 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Mathew James Ashton | 2004 | 2000 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University ~ 2003 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2004 - Self Managed Superannuation Funds - Advanced Diploma (AQF 6) - Tribeca ~ 2006 - Charted Financial Analyst - Professional Designations - CFA Institute ~ 2010 - Margin Lending and Geared Investments - Diploma (AQF 5) - Kaplan Professional |
| Matthew Kevin Edmonds | 2017 | 2002 - Bachelor of Commerce - - University of Newcastle ~ 2005 - Graduate Certificate Chartered Accounting - - Chartered Accountants Australia NZ ~ 2016 - Certificate IV Finance & Mortgage Broking - - Kaplan Professional ~ 2017 - Diploma of Financial Planning - - Kaplan Professional |
| Nicholas Donald Carter | 2018 | 2010 - Bachelor of Commerce - - University of Newcastle ~ 2012 - Graduate Certificate Chartered Accounting - - CAANZ ~ 2017 - Certificate IV Finance & Mortgage Broking - - Kaplan Professional ~ 2018 - Diploma of Financial Planning - - Kaplan Professional |
| Nicole Leanne Brown | 2017 | 2004 - Bachelor of Commerce - - University of Newcastle ~ 2007 - Certified Practicing Accountant - - CPA Australia ~ 2015 - Certificate IV in Finance & Mortgage Broking - - Kaplan Professional Education ~ 2015 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2020 - Certificate of Public Practice - Certificate (AQF 1-4) - Chartered Accountants ANZ |
| Philip John Stanbridge | 2007 | 2004 - Diploma of Financial Planning - - Financial Planning Association of Australia Limited ~ 2010 - Margin Lending and Geared Investments Statement of Attainment - - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds Statement of Attainment - - Kaplan Professional ~ 2012 - Life Insurance & Skills Statement of Attainment - - Kaplan Professional |
| Samuel James Arnott | 2017 | 2009 - Bachelor of Commerce - - University of Newcastle ~ 2011 - Graduate Diploma of Chartered Accounting - - Chartered Accountants ANZ ~ 2016 - SMSF Specialist Advisor - - SMSF Association |
| Saverio Angi | 2004 | 1995 - Bachelor of Business (Accountancy) - - Queensland University of Technology ~ 2002 - DFP001 Introduction to Financial Planning - - Financial Planning Association of Australia ~ 2002 - DFP002 Risk Management and Insurance Planning - - Financial Planning Association of Australia ~ 2002 - DFP004 Retirement Planning - - Financial Planning Association of Australia ~ 2002 - Financial Planning Proper Authority Course - - The Securities Institute and The Institute of Chartered Accountants in Australia |
| Shane Alexander Morgan | 2007 | 1995 - Bachelor of Commerce - - University of Newcastle ~ 2000 - Chartered Accountant - - Institute of Chartered Accountants ~ 2003 - Diploma of Financial Planning - - Securities Institute ~ 2006 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association ~ 2016 - Tier 1 Foreign Exchange - - Kaplan Professional |
| Stuart Phillip Chan | 2017 | 1997 - Bachelor of Commerce - - Macquarie University ~ 2001 - Graduate Diploma of Chartered Accounting - - Chartered Accountants ANZ ~ 2006 - Graduate Diploma of Financial Planning - - Finsia |
| Tao Hsu | 2018 | 2016 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2017 - Commercial law for tax (financial) advisers AETACL - Other - Applied Education ~ 2017 - Taxation law for tax (financial) advisers AETLFA - Other - Applied Education ~ 2018 - Margin Lending Adviser (Personal Advice) - Other - Mentor Education ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan ~ 2020 - Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan |
| Wade Bryan Johnson | 2012 | 2012 - Accredited Derivatives Adviser Level 1 - - Kaplan ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Margin Lending & Geared Investments - - Kaplan ~ 2013 - Bachelor of Commerce - - University of Newcastle ~ 2016 - Tier 1 Foreign Exchange - - Kaplan Professional |