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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives; and
interests in managed investment schemes limited to:
MDA services; and
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Agnes Sylvia Erdosi | 2018 | 2014 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2018 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2019 - TASA TPB Code of Professional Conduct - Other - Kaplan Professional Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Alexander Rose | 2001 | 1999 - Bachelor of Arts - - The University of Queensland ~ 1999 - Bachelor of Business (Management) - - The University of Queensland ~ 2003 - Graduate Diploma in Applied Finance and Investment - - Securities Institute of Australia (now FINSIA) ~ 2016 - Margin Lending - - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Andrew John Rosetta | 2015 | 2015 - Bachelor of Commerce - - University of Canberra ~ 2017 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - kaplan professional |
| Anthony Castellaro | 2002 | 1989 - Bachelor of Business Administration - - Texas Wesleyan University Ft.Worth TX USA ~ 2005 - Graduate Diploma of Financial Planning - - FINSIA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Barton Willis | 0 | 2013 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Sunshine Coast ~ 2017 - Margin Lending - Other - Kaplan Professional ~ 2019 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| Benjamin James Greenwell | 2011 | 1999 - Bachelor of Science - - Manchester Metropolitan University ~ 2008 - Diploma Financial Services (Financial Planning) - - Meutar Education ~ 2011 - Certified Financial Planner - - Financial Planning Association ~ 2016 - SMSF Association Specialist Adviser Accreditation - Professional Designations - SMSF Association |
| Benjamin Mcnamara | 2005 | 2003 - Bachelor of Finance - - University of Newcastle ~ 2005 - Advanced Diploma Financial Services (Financial Planning) - - Kaplan ~ 2013 - Margin Lending Accreditation - - Kaplan |
| Brett James Ulrick | 2003 | 1996 - Bachelor of Business (Accounting) - - Southern Cross University ~ 2003 - Post Graduate Diploma Financial Planning - - Securities Institute of Australia ~ 2005 - Derivatives Level 1 & 2 - - ASX ~ 2014 - Certified Financial Planner - - Financial Planning Association ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Cameron Felice | 2012 | 2009 - Bachelor of Business - - The University of NSW ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Education Pty Ltd ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Education Pty Ltd ~ 2017 - Certified Financial Planner - - FPA |
| Cameron Rowland James | 2018 | 2018 - DIPLOMA OF FINANCIAL PLANNING - - IIT ~ 2019 - Bachelor of Commerce (Tax & Accounting) - Bachelor Degree (AQF 7) - Griffith University ~ 2020 - Financial Adviser Exam - Professional Designations - FASEA |
| Christie Taryn Wilson | 2017 | 2017 - Advanced Diploma Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2018 - RG146 Tier 1 Margin Lending - Diploma (AQF 5) - Kaplan Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Christopher Railton | 2018 | 2012 - Bachelor of Commerce (Professional) (Financial Planning) - Bachelor Degree (AQF 7) - Griffith University |
| Claire Frances Mcgregor | 2012 | 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Margin Lending Accreditation - - Kaplan Professional ~ 2016 - Certified Financial Planner - - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan professional |
| Connor Stott | 2024 | 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Queensland ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Craig Patrick Roberts | 2022 | 2009 - Bachelor of Business - Accounting - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Damon John Bensein | 2006 | 2005 - Bachelor of Business - - QUT ~ 2008 - Graduate Diploma Financial Planning - - Finsia ~ 2015 - Certified Financial Planner - - Financial Planning Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Darren Withers | 1999 | 1994 - Bachelor of Commerce - - James Cook University ~ 1999 - Diploma of Financial Planning - - Financial Planning Association ~ 2003 - Certified Financial Planner - - Financial Planning Association ~ 2005 - Certificate in Self Managed Super Funds - - Tribeca ~ 2009 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association |
| Dean Cameron Ireland | 2002 | 2005 - Bachelor of Commerce - - Griffith University ~ 2005 - Diploma in Financial Services (Financial Planning) - - Tribeca ~ 2009 - Certified Financial Planner - - Financial Planning Association ~ 2013 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Elene Lois Worthington | 2008 | 2010 - Advanced Diploma of Financial Planning - - Kaplan ~ 2011 - Margin Lending - - Kaplan ~ 2015 - Bachelor of Business - - University of Sunshine Coast ~ 2015 - Bachelor of Commerce Majoring in Accounting - - University of the Sunshine Coast ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Giovane Porciuncula Nucci | 2015 | 2012 - Bachelor of Business - Bachelor Degree (AQF 7) - Georgia College ~ 2014 - Diploma of Financial Planning - - AAMC Training Group ~ 2016 - Principles in Self-Managed Superannuation Funds - - International Institute of Technology ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology (IIT) |
| Gregory John Jamieson | 2000 | 1989 - Bachelor of Arts - - Griffith University ~ 1999 - Certified Financial Planner - - Finacial Planning Association ~ 1999 - Diploma of Finacial Planning - - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jessie Hinds | 2012 | 2009 - Bachelor of Business (Accountancy) - - Queensland University of Technology (QUT) ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2016 - CFP - Professional Designations - Financial Planning Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Kelly Stubberfield | 2015 | 2014 - Advanced Diploma in Financial Planning - - Kaplan ~ 2018 - Masters of Financial Planning - - Kaplan Professional ~ 2018 - Tier 1 Margin Lending - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Kurt Chapman | 0 | 2021 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology (RMIT) |
| Kyle John Wilson Knowles | 2022 | 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Australian National University ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Lynda Mckie | 2010 | 1988 - Bachelor of Commerce - - University of Queensland ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2016 - Certified Financial Planner - - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Michael Joseph Gray | 2004 | 2012 - Graduate Diploma of Applied Finance - - Kaplan Professional ~ 2014 - Masters of Applied Finance - - Kaplan ~ 2017 - Certified Financial Planner - - FPA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Michael Shane Rose | 2014 | 2007 - Bachelor of Business (Majoring in Accounting and Finance) - - Southern Cross University ~ 2008 - Diploma of Chartered Accounting - - Institute of Chartered Accountants Australia and New Zealand ~ 2014 - Diploma of Financial Planning - - Kaplan ~ 2016 - Certified Financial Planner - - FPA ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Peter William Mcveigh | 1997 | 1997 - Bachelor of Business (Banking & Finance) - - QUT ~ 2000 - Graduate Diploma in Applied Finance and Investment - - FINSIA ~ 2007 - Graduate Diploma of Financial Planning - - FINSIA |
| Sunitha Williams | 2011 | 2009 - Bachelor of Commerce (Majors in Accounting and Finance) - - The University of Queensland ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2015 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2016 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2017 - SMSF Specialist Advisor Accreditation - - SMSF Association |
| Timothy James Swainston | 2018 | 2012 - Bachelor Business Commerce (Applied Finance) - Bachelor Degree (AQF 7) - Western Sydney University ~ 2018 - Diploma Financial Planning FNS50615 - Diploma (AQF 5) - Monarch Institute |
| Timothy Mclaughlan | 2008 | 2007 - Bachelor of Commerce with Honours - - ANU ~ 2009 - Graduate Diploma of Applied Finance - - Kaplan ~ 2015 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Troy Wesley Pearsall | 2010 | 2013 - Taxation & Estate Planning - - Kaplan Professional ~ 2015 - Advanced Diploma in Financial Services - - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |