This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation; and
provide financial product advice to wholesale clients only for the following classes of financial products:
interests in managed investment schemes limited to:
MDA services;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
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 to retail and wholesale clients 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;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients only in respect of the following classes of products:
interests in managed investment schemes limited to:
MDA services.
Name | First provided advice | Qualification and trainings |
---|---|---|
Alistair Scott Carmichael | 1998 | 2004 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA ~ 2009 - Accredited Derivatives Adviser Level 1 - Certificate (AQF 1-4) - Kaplan Professional ~ 2011 - Margin Lending Accreditation Program - Certificate (AQF 1-4) - Deakin Prime & Stockbrokers Association of Australia ~ 2011 - Professional Diploma in Stockbroking - Professional Designations - Deakin Prime & Stockbrokers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Amanda Fong | 1999 | 1988 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 1993 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2002 - SDIA Accreditation Program RG146 - Certificate (AQF 1-4) - Deakin & SDIA ~ 2010 - Professional Diploma in Stockbroking - Diploma (AQF 5) - DeakinCo & Stockbrokers and Financial Advisers Association Limited ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Andrew Dobbin | 2010 | 2003 - Bachelor of Accounting - Bachelor Degree (AQF 7) - University of Technology ~ 2010 - ASX Accredited Derivatives Adviser Level Two - Certificate (AQF 1-4) - Kaplan ~ 2010 - Core 1 Securities & Managed Investments Accreditation Program - Certificate (AQF 1-4) - Deakin ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
Benjamin Charles James | 2001 | 1997 - B.Business (Banking & Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2002 - SDIA Accreditation Program RG146 - Diploma (AQF 5) - Deakin & SDIA ~ 2010 - Margin Lending Accreditation Program - Certificate (AQF 1-4) - Deakin & Stockbrokers and Financial Advisers Association ~ 2010 - Professional Diploma of Stockbroking - Diploma (AQF 5) - Deakin & Stockbrokers and Financial Advisers Association Limited ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Clarissa Helen Tai | 0 | 2005 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2017 - SMSF Specialist Advisor Program - Professional Designations - SMSF Association Ltd ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Constance Gaidatzis | 2018 | 2018 - Diploma of Financial Planning - - Kaplan ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
Dylan Charles Verney | 2018 | 2017 - Bachelor of Business - Banking & Finance & Economics - Bachelor Degree (AQF 7) - Monash University ~ 2018 - Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Accredited Derivatives Adviser Level 1 - Other - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - SMSF Regulation & Taxation (FPE020) - Other - Kaplan Professional |
Edward Robert Charles Brooke | 2012 | 1998 - Bachelor of Commerce - - University of Sydney ~ 2004 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Jack Morley | 0 | 2021 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Deakin University |
James Robins | 2018 | 2011 - Bachelor of Commerce & Administration - Bachelor Degree (AQF 7) - Victoria University of Wellington ~ 2017 - Securities & Managed Investments - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Jonathan Cohen | 0 | 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Melbourne ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
Juliana Rajkovic | 2014 | 2010 - Professional Diploma in Stockbroking - Professional Designations - Deakin & Stockbrokers Association of Australia ~ 2011 - Accredited Derivatives Advisor - Level 1 - Certificate (AQF 1-4) - Kaplan Professional ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Kris James | 2016 | 2011 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - University of Ballarat ~ 2015 - Core 1: Securities & Managed Investments Accreditation Program - Certificate (AQF 1-4) - DeakinCo & Stockbrokers and Financial Advisors Association Limited ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - SMSF Regulation & Taxation (FPE020) - Other - Kaplan Professional |
Mark Cooper | 2017 | 2008 - ASX Accredited Derivatives Adviser - Level 1 and 2 - - Kaplan ~ 2008 - SDIA Accreditation Program - - Deakin University ~ 2010 - SDIA Margin Lending Accreditation - - Deakin Prime ~ 2017 - Graduate Certificate of Finance - - Macquarie University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Rafi Jinnat | 2018 | 2014 - Bachelor of Economics - - University of Western Sydney ~ 2021 - Accredited Derivatives Advisor - Level 1 - Certificate (AQF 1-4) - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan |
Tim Cudlipp | 2014 | 2009 - B. Commerce and B. Economics - Bachelor Degree (AQF 7) - Monash University ~ 2012 - Professional Diploma in Stockbroking - Professional Designations - DeakinCo & Stockbrokers and Financial Advisers Association Limited ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Will Hauser | 2015 | 2006 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2010 - Professional Diploma in Stockbroking - Professional Designations - Deakin & Stockbrokers Association of Australia ~ 2014 - Margin Lending Accreditation Program - Certificate (AQF 1-4) - Deakin & Stockbrokers Association of Australia ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |