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 - Bachelor Degree (AQF 7) - University of Newcastle ~ 2005 - Chartered Accountant Program - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2015 - Accountants SMSF Package SUB-514994 - Other - Kaplan Higher Education ~ 2015 - Insurance & Risk Protection SUB-515024 - Other - Kaplan Higher Education ~ 2015 - Securities & Managed Investments SUB-515022 - Other - Kaplan Higher Education ~ 2015 - Tier 1 Financial Planning Personal Advice SUB-515058 - Other - Kaplan Higher Education ~ 2016 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Higher Education ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education ~ 2022 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher 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 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Benjamin Richard Letham | 2010 | 2004 - Bachelor of Finance - Bachelor Degree (AQF 7) - University of Newcastle ~ 2006 - Superannuation & Retirement Planning SUB-514899 - Other - Kaplan Professional ~ 2010 - Estate Planning SUB-514901 - Other - Kaplan Professional ~ 2010 - Investment Planning 2 SUB-514902 - Other - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments Statement of Attainment - - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds Statement of Attainment - - Kaplan Professional ~ 2012 - 925 Life Insurance & Skills SUB514953 - Other - Kaplan Professional ~ 2012 - Advanced Diploma Skills (Financial Planning) SUB-514905 - Other - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Catherine Maryanne Parker | 2016 | 2011 - Bachelor of Commerce (Financial Accounting & Finance) - Bachelor Degree (AQF 7) - University of Newcastle ~ 2013 - Chartered Accountant Program - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2015 - Accountants SMSF Package SUB-514994 - Other - Kaplan Higher Education ~ 2015 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Higher Education ~ 2015 - Diploma in Financial Planning - Diploma (AQF 5) - Kaplan Higher Education ~ 2015 - Insurance and Risk Protection SUB-515024 - Other - Kaplan Higher Education ~ 2015 - Securities and Managed Investments SUB-515022 - Other - Kaplan Higher Education ~ 2015 - Tier 1 Financial Planning Personal Advice SUB-515058 - Other - Kaplan Higher Education ~ 2020 - SMSF Specialist Advisor Program - Professional Designations - SMSF Association Ltd ~ 2024 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Craig Mark Semmler | 2011 | 2010 - Bachelor of Commerce (Finance) - Bachelor Degree (AQF 7) - University of Newcastle ~ 2011 - Justice of the Peace NSW - - Attorney General & Justice ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education ~ 2014 - Margin Lending & Geared Investments Accreditation - - Kaplan ~ 2014 - Self Managed Super Fund Accreditation - - Kaplan |
| David Reynell Mcrae | 2018 | 2007 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Victoria University ~ 2010 - Certified Practicing Accountants Australia Program - Professional Designations - CPA Australia Ltd ~ 2014 - Cert IV Mortgage Broking - Other - Kaplan ~ 2016 - RG146 Self-managed Superannuation Funds - Other - Financial Educational Professionals ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Gregory Keith Condon | 2009 | 2009 - Diploma of Financial Services (Financial Planning) - - Financial Services Training & Assessment ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education ~ 2025 - Commercial Law - Other - Kaplan Higher Education ~ 2025 - Tax for Financial Advising - Other - Kaplan Higher Education |
| 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 - Bachelor Degree (AQF 7) - University of Newcastle ~ 2004 - Certified Practicing Accountants Program - Professional Designations - Certified Public Accountants of Australia Pty Ltd ~ 2015 - Accountants SMSF Package SUB--514994 - Other - Kaplan Higher Education ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education ~ 2015 - Insurance and Risk Protection SUB--515024 - Other - Kaplan Higher Education ~ 2015 - Securities and Managed Investments SUB--515022 - Other - Kaplan Higher Education ~ 2015 - Tier 1 Financial Planning - Personal Advice SUB--515058 - Other - Kaplan Higher Education ~ 2016 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Higher Education ~ 2018 - SMSF Specialist Advisor Program - Professional Designations - SMSF Association Ltd ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Jarrod Heath Bramble | 2010 | 1997 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 1999 - Chartered Accountant Program - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2009 - Superannuation & Retirement Planning SUB--514899 - Other - Kaplan Higher Education ~ 2010 - Investment Planning 1 SUB--514898 - Other - Kaplan Higher Education ~ 2010 - SMSF Specialist Advisor Program - Professional Designations - SMSF Association Ltd ~ 2012 - Chartered Tax Adviser - Other - Tax Institute ~ 2012 - Diploma of Financial Services - Diploma (AQF 5) - Kaplan Higher Education ~ 2012 - Risk Management SUB--514894 - Other - Kaplan Higher Education ~ 2015 - Certificate IV in Finance and Mortgage Broking - Other - Kaplan Higher Education ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Jason Campbell-atkinson | 2018 | 2018 - Bachelor of Business (International Business & Management) - Bachelor Degree (AQF 7) - University of Newcastle ~ 2018 - Diploma of Financial Planning (Module 1) - Diploma (AQF 5) - Kaplan Higher Education ~ 2018 - Diploma of Financial Planning (Module 2) - Diploma (AQF 5) - Kaplan Higher Education ~ 2021 - Estate and sucession planning FPC005 - Other - Kaplan Professional ~ 2021 - Insurance advice FPC004 - Other - Kaplan Professional ~ 2021 - Investment advice FPC008 - Other - Kaplan Professional ~ 2021 - Tax for Financial Advising - Other - Kaplan Higher Education ~ 2025 - Commercial Law - Other - Kaplan Higher Education ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| 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 Higher Education Pty Limited |
| Lincoln Armstrong Kallady | 2014 | 2003 - MLC101 Business Law - Other - Melbourne Institute of Business and Technology ~ 2004 - Diploma of Commerce - Other - Melbourne Instititute of Business and Technology ~ 2010 - Diploma of Financial Services (Financial Planning) - Other - Kaplan Higher Education ~ 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Ballarat ~ 2017 - CFP Certification Program - Professional Designations - Financial Advice Association of Australia Limited ~ 2017 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Mathew James Ashton | 2004 | 2000 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2003 - CFP Certification Program - Professional Designations - Financial Advice Association of Australia Limited ~ 2004 - Self Managed Superannuation Funds - Advanced Diploma (AQF 6) - Tribeca ~ 2006 - Chartered Financial Analyst Program - Professional Designations - CFA Institute ~ 2010 - Margin Lending and Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Matthew Kevin Edmonds | 2017 | 2002 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 2005 - Chartered Accountant Program - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2016 - Accountants SMSF Package SUB--514994 - Other - Kaplan Higher Education ~ 2016 - Certificate IV Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Higher Education ~ 2017 - Accountants Financial Planning SUB--546116 - Other - Kaplan Higher Education ~ 2017 - Accountants Life Insurance SUB--528238 - Other - Kaplan Higher Education ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education ~ 2017 - Securities and Managed Investments SUB--515022 - Other - Kaplan Higher Education ~ 2024 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education |
| Nicholas Donald Carter | 2018 | 2010 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 2012 - Chartered Accountant Program - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2017 - Accountants Financial Planning SUB--546116 - Other - Kaplan Higher Education ~ 2017 - Accountants Life Insurance SUB--528238 - Other - Kaplan Higher Education ~ 2017 - Accountants SMSF Package SUB--514994 - Other - Kaplan Higher Education ~ 2017 - Certificate IV Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Higher Education ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education ~ 2018 - Securities and Managed Investments SUB--546119 - Other - Kaplan Higher Education ~ 2024 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education |
| Nicole Leanne Brown | 2017 | 2004 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 2007 - Certified Practicing Accountants Program - Professional Designations - Certified Public Accountants of Australia Pty Ltd ~ 2015 - Accountants SMSF Package SUB--514994 - Other - Kaplan Higher Education ~ 2015 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Higher Education ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education ~ 2015 - Insurance and Risk Protection SUB--515024 - Other - Kaplan Higher Education ~ 2015 - Securities and Managed Investments SUB--515022 - Other - Kaplan Higher Education ~ 2015 - Tier 1 Financial Planning - Personal Advice SUB--515058 - Other - Kaplan Higher Education ~ 2020 - Chartered Accountant Program - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| 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 ~ 2021 - Client Engagement Skills SUB--676968 - Other - Kaplan Professional ~ 2021 - Superannuation and Retirement Advice SUB--18030 - Other - Kaplan Professional ~ 2022 - Insurance Advice SUB--18032 - Other - Kaplan Professional ~ 2023 - Investment Advice SUB--562493 - Other - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Samuel James Arnott | 2017 | 2008 - Financial Accounting 2 ACG27 - Other - University of South Australia ~ 2008 - Global Issues for Accounting ACG33 - Other - University of South Australia ~ 2008 - Introduction to Financial Planning FNP11 - Other - Royal Melbourne Institute of Technology ~ 2009 - Bachelor of Commerce (Financial Accounting) - Bachelor Degree (AQF 7) - University of Newcastle ~ 2011 - Chartered Accountant Program - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2016 - SMSF Specialist Advisor Program - Professional Designations - SMSF Association Ltd ~ 2024 - Ethics and Professionalism in Financial Advice FPC002B - Bridging Course - Ethics - Kaplan Higher Education |
| 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 - Bachelor Degree (AQF 7) - University of Newcastle ~ 2000 - Chartered Accountant Program - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2003 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute Australia ~ 2006 - SMSF Specialist Advisor Program - Professional Designations - SMSF Association Ltd ~ 2009 - Professional Certificate in Self-Managed Superannuation - Other - University of Adelaide ~ 2010 - Certificate of Public Practice - Other - Chartered Accountants Australia and New Zealand ~ 2015 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Higher Education ~ 2016 - SMSF Specialist Advisor Program - Professional Designations - SMSF Association Ltd ~ 2016 - Tier 1 Foreign Exchange - Other - Kaplan Higher Education ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Stuart Phillip Chan | 2017 | 1997 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Macquarie University ~ 2000 - Chartered Accountant Program - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2006 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Financial Services Institute of Australasia (FINSIA) ~ 2016 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Higher Education ~ 2018 - Complex Lending and Broking SUB--647522 - Other - Kaplan Higher Education ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Tao Hsu | 2018 | 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2017 - Commercial law for tax (financial) advisers AETACL - Other - Applied Education (Education IT Solutions Pty Ltd) ~ 2017 - Taxation law for tax (financial) advisers AETLFA - Other - Applied Education (Education IT Solutions Pty Ltd) ~ 2018 - Margin Lending Adviser (Personal Advice) - Other - Mentor Education ~ 2018 - Self Managed Superannuation Fund Adviser (Personal Advice) - Other - Mentor Education Australia ~ 2019 - CFP Certification Program - Professional Designations - Financial Advice Association of Australia Limited ~ 2020 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2020 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Higher Education ~ 2024 - SMSF Specialist Advisor Program - Professional Designations - SMSF Association Ltd |