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;
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;
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;
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;
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 |
|---|---|---|
| Albert Kuris | 2010 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Allan Pascoe | 2016 | Adv Dip Financial Planning - Monarch Institute ~ Bachelor of Business (Fin Mgmt & Acc) - James Cook University ~ Diploma of Financial Planning - Monarch Institute ~ Margin Lending Specialist - Kaplan Professional |
| Amie Christine Baker | 2009 | Dip FP FNS 50611;50804 - Kaplan ~ Dip Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan Professional |
| Andrew Conn | 2009 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Self Managed Superannuation Funds - Mentor Education |
| Brent Niszczot | 2007 | Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd |
| Christopher Remaili | 2016 | Bachelor of Business - UTS ~ DFP - Kaplan |
| Davone Saycocie | 2018 | Diploma of Financial Services - Financial Education Professionals ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Francis Kosteliz | 2006 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Business - The University of Newcastle ~ Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Ltd (formerly Tribeca) ~ MBA - University of Newcastle ~ Statement of Attainment - SMSF - Kaplan Education Pty Ltd |
| Gardiye Kariyawagam Thareendra Mandawala | 2017 | Diploma of Financial Planning - Monarch Institute ~ Self Managed Superannuation Funds - Monarch Institute |
| Gary John Schroder | 2012 | Entry Level Competencies for Financial Services - Integratec |
| Geoffrey Oberg | 2002 | ASX Listed Products Accreditation Course (LPAC) - LPAC Online ~ Bachelor of Commerce - University of Queensland ~ Diploma of Financial Planning - Kaplan ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuatinon Funds - Count wealth Accountants |
| George Sovechles | 1980 | Advanced Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ Advanced Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) |
| Grant Richard Thomson | 2017 | Advance Diploma of Financial Planning - International Institute of Technology ~ FNS50615 Diploma of Financial Planning - International Institute of Technology |
| Ian Benjamin Watson | 2022 | Graduate Diploma Financial Planning - Deakin University |
| Ivan Geoffrey Jones | 1998 | Diploma of Financial Planning - Deakin University ~ FPA Aged Care Specialist - Financial Planning Association ~ MBA - Melbourne Business School ~ Masters of Commerce - University of Western Sydney ~ Self Managed Superannuation Funds - Mentor Education |
| Jan Kerridge | 1994 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Higher Education |
| Jason Seaby | 2015 | ASX Listed Products Accreditation Course - LPACOnline ~ Diploma of Financial Planning - Kaplan Professional ~ SuperConcepts & ICFS Specialist SMSF Course - Super Concepts ~ TASACLv2 Commercial Law - Kaplan Professional ~ Tier 1 Margin Lending - Personal Advice - Kaplan Professional |
| Jenkin Wang | 1989 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Joel Mullen | 2012 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Commercial Law for Tax (financial) Advisers - International Institute of Technology ~ Diploma Financial Planning - International Institute of Technology ~ RG146 Tier 1 Specialist SMSF course - International Institute of Technology ~ Specialist Knowledge in Foreign Exchange - International Institute of Technology |
| John Ian Johnson | 2002 | Diploma of Financial Planning - FPA in co-operation with Deakin University ~ Diploma of Financial Services - Commonwealth Bank of Australia |
| Julie Ann Norris | 1995 | Bachelor of Commerce - University of Wollongong ~ MAI769 Ethics for Financial Services - Deakin University |
| Kevin Bouchahine | 2022 | Bachelor of Actuarial Studies - University of NSW ~ Bachelor of Commerce - University of NSW ~ Graduate Diploma of Financial Planning - Kaplan |
| Marissa Mcdonald | 2009 | Derivities and Securities - AAMC ~ Diploma Financial Services - AAMC ~ Life Insurance Skill Set - AAMC ~ Super and Managed Funds - AAMC |
| Michael John Lobodarz | 1994 | ASX Accredited Listed Products Adviser (ALPA) Programme - Kaplan ~ Certificate IV in Financial Services - Mortgages - AAMC ~ Certified Financial Planner - Financial Planning Association ~ Diploma in Financial Services - Mortgages - AAMC ~ Diploma of Financial Planning - Deakin |
| Neville Ortega | 1991 | Advance Financial Diploma - International Institute of Technology ~ Advance Self Managed Super Funds Program - Kaplan ~ Diploma of Financial Planning FNS50611 - Financial Planning Association of Australia Limited ~ Self Managed Superannuation Funds - Kaplan |
| Peter Anthony Larkin | 1989 | CFP - FPA ~ Certificate in SMSF/ASX Accredited listed products/Margin Lending and Geared - Kaplan ~ Certificate in Superannuation Management - Macquarie University ~ Diploma Financial Planning - Deakin University ~ Diploma in Financial Markets - Securities Institute |
| Peter Julian Law | 1986 | Diploma of Financial Planning FNB50804 - Tribeca Learning(Aust) Pty Ltd |
| Richard Hinch | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Arts (Honours) - University of Portsmouth ~ Graduate Diploma of Financial Planning - Kaplan Professionaal ~ Master of Financial Planning - Kaplan Professional ~ Self-Managed Superannuation Funds - Kaplan Professional |
| Rodney Mark Hudson | 2003 | Advance Diploma of Financial Planning - Kaplan ~ Associate Diploma Accounting - TAFE ~ Diploma in Financial Planning - FPA ~ Self Managed Superannuation Funds - Mentor |
| Sam Ross Chapman | 2013 | Advance Diploma of Financial Planning - International Institute of Technology ~ Diploma Financial Services FP - International Institute of Technology ~ SMSF Specialist Course - IIT |
| Shannon Dearsly | 2017 | DFP5v4 Tax for Financial Advising - Kaplan Professional ~ Diploma of Financial Planning - AAMC Training Group ~ TASACLv2 Commercial Law - Kaplan Professional |
| Simon Charles Carrie | 1997 | ASX Listed Products Accreditation - LPAC Online ~ Investment Planning 2 - Tribeca ~ Policy Statement 146 Knowledge Assessment - Tribeca ~ Taxation Planning - Tribeca ~ The Strategic Advice Steps for Aged Care - Aged Care Steps |
| Sonia Pace | 2003 | Accredited Listed Product Adviser Program - Kaplan Education Pty Limited ~ Diploma of Financial Services (Financial Planning) - Integratec (Aust) Pty Limited ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Education Pty Limited ~ Self Managed Superannuation Funds - Kaplan Education Pty Limited |
| Stephen Tilley | 2002 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ FPC007B Client Engagement Skills - Kaplan Professional |
| Therese Nicole Mckenzie-young | 1981 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce - Griffith University ~ Certificate IV Financial Services (Finance/Mortgage Broking) - National Finance Institute ~ Diploma of Financial Services (Financial Planning) - Integratec (Australia) Pty Ltd ~ Masters Financial Planning - Griffith University |
| Vicki Bryson | 1999 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |