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;
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;
interests in managed investment schemes limited to:
MDA services;
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:
interests in managed investment schemes limited to:
own managed investment scheme only;
MDA services; and
securities;
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;
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;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility; and
superannuation; and
underwriting:
interests in managed investment schemes; and
an issue of securities; 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 |
|---|---|---|
| Aleksander Urbas | 2017 | 2015 - Bachelor of Economics - Bachelor Degree (AQF 7) - Australian National University ~ 2015 - Bachelor of Finance - Bachelor Degree (AQF 7) - Australian National University ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2020 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Alexander Baroukh | 2014 | 2011 - Bachelor of Commerce - Advanced Diploma (AQF 6) - University of New South Wales ~ 2011 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of New South Wales ~ 2012 - Core 1 Securities & Managed Investments accreditation program - Diploma (AQF 5) - Stockbrokers Association of Australia ~ 2013 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Alexander Edward Hayward | 2011 | 2010 - Bachelor of Finance - Bachelor Degree (AQF 7) - ANU ~ 2011 - Core 1 Securities & Managed Investments Accreditation Program - Diploma (AQF 5) - Deakin Prime ~ 2013 - Financial Planning - Graduate Diploma (AQF 8) - KAPLAN ~ 2015 - Masters of Applied Finance - Masters Degree (AQF 9) - ANU |
| Alexander LE Maistre | 2024 | 2021 - Bachelor's degree Commerce: Finance and Marketing Science - Bachelor Degree (AQF 7) - Monash University ~ 2021 - RG146 - Other - SIAA ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Alice Browne | 2015 | 2012 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Sydney ~ 2015 - Core 1: Securities & Managed Investments Accreditation - Professional Designations - Stockbrokers Associate on Australia ~ 2015 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Alison Christine Rodriquez | 2016 | 2006 - Bachelor of Business (marketing) - Bachelor Degree (AQF 7) - Monash University ~ 2009 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Kaplan ~ 2015 - FX Accreditation - Certificate (AQF 1-4) - Stockbrokers Association ~ 2016 - Accredited Derivatives Adviser - Level 1 - Certificate (AQF 1-4) - Deakin Prime ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Amiee Louise Keys | 2010 | 2008 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Canberra ~ 2008 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Canberra ~ 2011 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Andersen Lee | 2018 | 2017 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of New South Wales ~ 2017 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of New South Wales ~ 2018 - Core 1 - Securities & Managed Investments Accreditation - Diploma (AQF 5) - Stockbrokers and Financial Advisers Association |
| Andrew Dixon | 2018 | 2007 - Bachelor of Business Banking & Finance - - Monash University ~ 2009 - RG 146 Securities & Managed Investments - - SAA |
| Andrew John Moir | 1992 | 1991 - Bachelor of Art (Political Science, Economics) - Bachelor Degree (AQF 7) - University of Tasmania ~ 2002 - RG146 - Other - Deakin Prime ~ 2009 - ADA 2 - Other - Kaplan Professional |
| Angela Tran | 2018 | 2014 - Bachelor of Arts - Bachelor Degree (AQF 7) - Monash University ~ 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Anthony Chiefari | 2014 | 2012 - Bachelor of Commerce - Bachelor Honours Degree (AQF 8) - The University of Sydney ~ 2014 - Masters of Applied Finance - Masters Degree (AQF 9) - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2023 - Commercial Law - Certificate (AQF 1-4) - Kaplan Professional ~ 2023 - Tax for Financial Advising - Certificate (AQF 1-4) - Kaplan Professional |
| Ashley Brent Woodhead | 2010 | 2010 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT ~ 2012 - Certified Financial Planner - - FPA |
| Brian Kim | 2011 | 2010 - Bachelor of Commerce - - University of New South Wales ~ 2013 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Bryce Johansen | 2023 | 2019 - Bachelor of Business, Finance - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2020 - RG146 Accreditation: Securities and Managed Investments - Other - SIAA ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Cameron Hans Malingbrough | 1987 | 1984 - 341101 - Commercial Law A - Other - University of Melbourne ~ 1985 - 306323 - Commercial Law C3 (Taxation) - Other - University of Melbourne ~ 1985 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 1991 - Graduate Diploma in Applied Finance and Investments - Graduate Diploma (AQF 8) - The Securities Institute of Australia ~ 2012 - ADA 2 - Other - Deakin Prime |
| Cameron Hugh Philpot | 2023 | 2019 - Business Administration with concentration on finance/economics - Bachelor Degree (AQF 7) - University of South Carolina ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Graduate Diploma of Financial Planning |
| Charles Lill | 2023 | 2018 - Bachelor of Arts - Bachelor Degree (AQF 7) - Monash University ~ 2018 - Bachelor of Business - Bachelor Degree (AQF 7) - Monash University ~ 2019 - RG146: Securities & Managed Investments - Other - Western Sydney University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Christian Edward Beddoe | 2023 | 2020 - Bachelor of Economics - Bachelor Degree (AQF 7) - Sydney University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Craig Daniel Frankpitt | 1998 | 1991 - Bachelor of Commerce - - University of Melbourne ~ 1992 - Post Graduate Diploma of Finance - - University of Melbourne ~ 1997 - Masters of Commerce (Finance) - Masters Degree (AQF 9) - University of Melbourne ~ 2012 - ADA 2 - - Deakin Prime ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Damien John Kerr | 2004 | 1998 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - LaTrobe University ~ 2005 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association ~ 2008 - Certified Financial Planner - Professional Designations - FPA ~ 2011 - RG146 - Diploma (AQF 5) - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Damien Luke Kennedy | 2010 | 2005 - Bachelor of Business (Accounting/Business Management) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2010 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan ~ 2012 - Certified Financial Planner - Professional Designations - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Daniel James Thompson | 2016 | 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Australian National University ~ 2015 - Core 1 Securities & Managed Investments Accreditation Program - Diploma (AQF 5) - Stockbrokers Association of Australia ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional |
| Daniel Marc Parasol | 2009 | 1998 - Bachelor of Commerce - - Monash University ~ 2000 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2002 - RG146 - - Deakin University ~ 2003 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Daniel Patrick Griffin | 2016 | 2010 - Bachelor of Commerce - - University of Canberra ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - KAPLAN ~ 2016 - Core 1 Securities & Managed Investments Accreditation - Diploma (AQF 5) - Deakin Prime |
| Daniel Rohan Gumley | 2013 | 2012 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Darcy Kiernan | 2018 | 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2017 - Master of Finance - Masters Degree (AQF 9) - University of Melbourne ~ 2018 - Core 1 - Securities & Managed Investments Accreditation (ASIC RG146) - Diploma (AQF 5) - Stockbrokers and Financial Advisers Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| David Craig Stevenson | 2000 | 1996 - Bachelor of Commerce - - University of Melbourne ~ 2001 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2002 - RG146 - - Deakin Prime ~ 2012 - ADA 1 - - Deakin Prime |
| David Mark Summers | 1989 | 1991 - Diploma Course of The Securities Institute of Australia - Graduate Diploma (AQF 8) - Securities Institute ~ 2002 - RG146 - Diploma (AQF 5) - Deakin Prime ~ 2008 - ADA 2 - Diploma (AQF 5) - Kaplan ~ 2015 - Foreign Exchange - Diploma (AQF 5) - Deakin Prime ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| David Wansbrough | 1995 | 1994 - Bachelor of Business - - Curtin University ~ 1999 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2002 - ADA 2 - - Deakin Prime ~ 2002 - RG146 - - Deakin Prime ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| David William Hay | 2001 | 1995 - DL034 - Business Law 1 - Other - RMIT University ~ 2002 - ASIC PS146 - Other - Deakin Prime - SDIA ~ 2002 - Diploma of Business (Banking and Finance) - Diploma (AQF 5) - RMIT University ~ 2003 - Professional Diploma in Stockbroking - Diploma (AQF 5) - Deakin Prime |
| George David Joseph Goodchild | 2017 | 2013 - Bachelor of Mathematics (Hons) - Bachelor Honours Degree (AQF 8) - University of Portsmouth ~ 2016 - Core 1 Securities and Managed Investments Accreditation - Diploma (AQF 5) - Stockbrokers Association of Australia ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional |
| Glen Pearce | 2018 | 2014 - Bachelor of Commerce (Finance) - - Swinburne University of Technology ~ 2015 - Core 1 - Securities & Managed Investments Accreditation (ASIC RG146) - - Stockbrokers and Financial Advisers Association ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Hannah Louise Doherty-mcmillan | 2016 | 2010 - Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2015 - Financial Planning - Diploma (AQF 5) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Hayden Wong | 2024 | 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Sydney ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Hibah Jamal | 2023 | 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Ishara Udarani Rupasinghe | 2009 | 2005 - BUSN1101 - Introduction to Commercial Law - Other - Australian National University ~ 2008 - BUSN3014 - Principles of Income Tax Law - Other - Australian National University ~ 2008 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Australian National University ~ 2010 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2012 - Certified Financial Planner - Certificate (AQF 1-4) - Financial Planning Association of Australia |
| Jake Edwards | 2023 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Queensland ~ 2018 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Queensland ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Jake Raymond Wynan | 2018 | 2016 - Bachelor of Science in Business Administration (Finance) - Bachelor Degree (AQF 7) - University of Louisiana at Lafayette ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2018 - Margin Lending - Diploma (AQF 5) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| James Alexander Kendall Fletcher | 2014 | 2000 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2014 - MARGIN LENDING ACCREDITATION PROGRAM - - DEAKIN PRIME ~ 2014 - SECURITIES & MANAGED INVESTMENTS ACCREDITATION PROGRAM - - DEAKIN PRIME ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Economic and Legal Context in Financial Planning - Certificate (AQF 1-4) - Kaplan |
| James Anthony David Morrow | 2011 | 2010 - Bachelor of Finance - Bachelor Degree (AQF 7) - Australian National University ~ 2012 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Commercial Law - Certificate (AQF 1-4) - Kaplan Professional ~ 2023 - Tax for Financial Advising - Certificate (AQF 1-4) - Kaplan Professional |
| James Israel | 2017 | 2013 - Bachelor of Commerce - - University of New South Wales ~ 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - UNSW ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2015 - Diploma of Financial Planning - - Kaplan ~ 2016 - Core 1 Securities & Managed Investments - Diploma (AQF 5) - Stockbrokers Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| James Lindberg | 2014 | 2011 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Victoria University ~ 2014 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| James Paterson Bailey | 2007 | 2004 - Commerce in Accounting - Bachelor Degree (AQF 7) - University of Canberra ~ 2006 - SDIA – Securities and Derivatives Industry Association - - Stockbrokers Association of Australia ~ 2006 - The SDIA Accreditation Program - Other - SDIA ~ 2008 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - FINSIA ~ 2008 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Professional |
| James Ronald Evans | 2018 | 2015 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2016 - Rg 146 core: Securities and investments - - SAFAA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Client Engagement Skills - Professional Designations - Kaplan ~ 2023 - Economic and Legal Context for Financial Planning - Professional Designations - Kaplan |
| Jarrad Collins | 2007 | 2007 - Bachelor of Finance - Bachelor Degree (AQF 7) - Australian National University ~ 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2012 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional Education ~ 2013 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jeremy Law | 2018 | 2008 - B.Econ.Soc.Sci. - - Sydney Uni ~ 2008 - Bachelor of Economics and Social Sciences - Bachelor Degree (AQF 7) - University of Sydney ~ 2011 - Advanced Diploma of Financial Services - - Kaplan ~ 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jeremy Max Sojka | 2014 | 2010 - Bachelor of Business - Accounting - Bachelor Degree (AQF 7) - Monash University ~ 2010 - Bachelor of Business - Banking and Finance - Bachelor Degree (AQF 7) - Monash University ~ 2011 - Bachelor of Commerce and Finance - Bachelor Degree (AQF 7) - Monash University ~ 2016 - Accredited Derivatives Adviser Level 2 - - SAFAA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jessica Lucy Byrne | 2017 | 2005 - Business Management - Bachelor Degree (AQF 7) - RMIT ~ 2010 - Masters of Applied Finance - Masters Degree (AQF 9) - Kaplan ~ 2016 - Chartered Alternative Investment Analyst (Level 1) - Professional Designations - CAIA ~ 2017 - RG146 - Foreign Exchange - Diploma (AQF 5) - Financial Education Professionals |
| Jessica-lea Surlan | 2016 | 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Sydney ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2015 - RG146 - Securities and Managed Investments Accreditation Program - Diploma (AQF 5) - Stockbrokers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| John Hogan | 2015 | 2010 - Bachelor of Commerce - - University of Newcastle ~ 2010 - Bachelor of Economics - - University of Newcastle ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jonathon Mceniry | 2023 | 2002 - Bachelor of Science - Bachelor Degree (AQF 7) - Deakin University ~ 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2018 - Securities & Managed Investments - Other - SIAA ~ 2021 - Graduate Diploma of Financial Planning - Bachelor Honours Degree (AQF 8) - Kaplan |
| Joshua Barker | 2023 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2018 - SAFAA Core 1: SMI - Core 1: Securities and Managed Investments - Other - Stockbrokers And Financial Advisers Association ~ 2021 - Graduate Diploma of Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2022 - Accredited Derivatives Adviser Level 1 (ADA1) Accreditation Program - Other - Stockbrokers And Investment Advisers Association ~ 2022 - Accredited Derivatives Adviser Level 2 (ADA2) Accreditation Program - Other - Stockbrokers And Investment Advisers Association |
| Kane David Miller | 2016 | 2002 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2004 - Chartered Accounting - Professional Designations - Institute of Chartered Accountants ~ 2016 - Tier 1 Compliance Solution - Superannuation - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Client Engagement Skills - Professional Designations - Kaplan |
| Kate Elizabeth Soumilas | 2017 | 2015 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2015 - Bachelor of Law - Bachelor Degree (AQF 7) - Deakin University ~ 2015 - Core 1 Securities and Managed Investment Accreditation Program - Certificate (AQF 1-4) - Stockbrokers Association of Australia ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan |
| Kathleen Dillane | 2022 | 2015 - Bachelor of Arts - Bachelor Degree (AQF 7) - Monash University ~ 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2021 - RG 146 - Other - Kaplan |
| Katie May Loveday | 2015 | 2008 - Commerce - Bachelor Degree (AQF 7) - University of Sydney ~ 2011 - Chartered Accountancy - Graduate Diploma (AQF 8) - Institute of Chartered Accountants ~ 2015 - Tier 1 Compliance Solution - Superannuation - Diploma (AQF 5) - Kaplan ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - KAPLAN |
| Katrina Louise Tull | 1987 | 1986 - Bachelor of Economics - Bachelor Degree (AQF 7) - Newcastle University ~ 1998 - Diploma of Applied Finance - Diploma (AQF 5) - SDIA ~ 2012 - ADA 2 - Other - Deakin Prime |
| Lucy Eleanor Meagher | 2016 | 2012 - Bachelor of International and Global Studies - Bachelor Degree (AQF 7) - University of Sydney ~ 2016 - Accredited Derivatives Adviser Level 1 - Diploma (AQF 5) - SAFAA ~ 2017 - Foreign Exchange Accreditation Program - Diploma (AQF 5) - SAFAA ~ 2019 - Ethics in Professionalism and Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Client Engagement Skills - Professional Designations - Kaplan |
| Lucy Pentelow | 2024 | 2020 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - Macquarie University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Luke Fussell | 2018 | 2018 - Core 1 - Securities & Managed Investments Accreditation - Diploma (AQF 5) - Stockbrokers and Financial Advisers Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Economic and Legal Context for Financial Planning - Professional Designations - Kaplan |
| Marc Ramon Huinink | 1998 | 1994 - Bachelor of Economics - Bachelor Degree (AQF 7) - Monash University ~ 1997 - Chartered Accountant (CA) - Professional Designations - Institute of Chartered Accountants ~ 1998 - Graduate Diploma of Applied Finance and Investment - Diploma (AQF 5) - Securities Institute ~ 2004 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Mark Noel Hogan | 2017 | 2004 - Bachelors of Economics - - University of New South Wales ~ 2012 - Masters in Professional Accounting (MPA) - - RMIT University ~ 2015 - SAA Core 1 Securities and Managed Investment Accreditation Program - - Stockbrokers Association of Australia ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2022 - Economic and Legal Context for Financial Planning - Professional Designations - Kaplan |
| Matthew Poynton | 2017 | 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Wollongong ~ 2016 - RG146 - Certificate (AQF 1-4) - Kaplan ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Economic and Legal Context for Financial Planning - Professional Designations - Kaplan |
| Matthew Turner | 2015 | 2013 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - Macquarie University ~ 2013 - Bachelor of Economics - Bachelor Degree (AQF 7) - Macquarie university ~ 2014 - RG146 - Certificate (AQF 1-4) - Stockbrokers Association of Australia ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Melanie Stone | 2018 | 2016 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University |
| Michael James Clegg | 2004 | 2004 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Sydney ~ 2012 - Accredited Derivatives Adviser Level 2 - Diploma (AQF 5) - Deakin Prime |
| Michael Tony Kostos | 2017 | 2011 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2020 - Certified Financial Planner - Professional Designations - Financial Planning Association fo Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Millie Ferguson | 2024 | 2021 - Bachelor of Advanced Finance and Economics (Honour) - Bachelor Honours Degree (AQF 8) - University of Queensland ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Monique Elwyn Gourlay | 1998 | 1989 - Bachelor of Commerce (Honours) - - University of Melbourne ~ 1995 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2012 - RG146 - - Deakin Prime ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Nadine Florenini | 2015 | 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2018 - Tier 1 Derviatives - Diploma (AQF 5) - Kaplan ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan ~ 2020 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Nicholas Edward Gordon | 1992 | 1992 - Bachelor of Business - Bachelor Degree (AQF 7) - Monash University ~ 2002 - ASIC PS146 - Other - Deakin Prime - SDIA ~ 2005 - ADA 1&2 - Other - Deakin Prime |
| Nicholas Ries | 2009 | 2008 - Bachelor of Business Management - - Monash ~ 2009 - Diploma of Financial Services in Financial Planning - - RG 146 Training Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Patrick DI Giannantonio | 2024 | 2021 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology, Sydney ~ 2021 - Diploma in Innovation - Advanced Diploma (AQF 6) - University of Technology, Sydney ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Paul Henri Benveniste | 1997 | 1994 - Bachelor of Commerce - - University of Adelaide ~ 2000 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2011 - ADA 1 - - Deakin Prime ~ 2011 - Margin Lending & Geared Investments - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Peter Konstantine Jorgensen | 2008 | 2008 - ASIC PS146 - Other - Deakin Prime - SDIA ~ 2010 - Master of Business Administration - Other - The University of Edinburgh ~ 2015 - ADA 2 - Other - Deakin Prime |
| Philip Damien Anglin | 2000 | 1992 - MCM171 - Introduction to Law and contract Law - Other - Deakin University ~ 1992 - MCM272 - Income Taxation Law - Other - Deakin University ~ 1995 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Pieter Francois Scheepers | 2015 | 2011 - Bachelor of Commerce (Hons) - Bachelor Honours Degree (AQF 8) - University of Stellenbosch ~ 2013 - Masters of Business in Finance - Masters Degree (AQF 9) - University of Technology Sydney ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Securities & Managed Investments Accreditation Program - Certificate (AQF 1-4) - Stockbrokers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Randall Fulton - Boote | 2013 | 2012 - Bachelor of Business Administration - Bachelor Degree (AQF 7) - Macquarie University ~ 2012 - Bachelor of Economics - Bachelor Degree (AQF 7) - Macquarie University ~ 2012 - Core 1 Securities & Managed Investments Accreditation Program - Diploma (AQF 5) - Deakin Prime ~ 2013 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Robert Raymond Tayoun | 2012 | 2007 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Wollongong ~ 2014 - Masters of Applied Finance - Masters Degree (AQF 9) - Kaplan ~ 2017 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Ryan James Cormican | 2012 | 2010 - Bachelor of Economics - Bachelor Degree (AQF 7) - Macquarie University ~ 2011 - Core 1 - Securities & Managed Investments Accreditation - Diploma (AQF 5) - Stockbrokers and Financial Advisers Association ~ 2014 - Masters of Applied Finance - Masters Degree (AQF 9) - Kaplan ~ 2017 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Samuel Jones | 2018 | 2008 - Bachelor of Business (International Business) - Bachelor Degree (AQF 7) - Swinburne University ~ 2009 - Graduate Certificate of Applied Finance - Graduate Certificate (AQF 8) - Kaplan ~ 2018 - Core 1 - Securities & Managed Investments Accreditation - Diploma (AQF 5) - Stockbrokers Association of Australia |
| Saurav Patel | 2022 | 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The Australian National University ~ 2020 - Bachelor of Finance - Bachelor Degree (AQF 7) - The Australian National University ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Timothy Gayfer | 0 | 2020 - Bachelor of Commerce/Bachelor of Economics Deans Scholars Program - Bachelor Degree (AQF 7) - Monash University ~ 2024 - FPC001B - Economic and Legal Context for Financial Planning - Other - Kaplan Higher Education Pty Limited ~ 2024 - FPC006 - Taxation for Financial Planning - Other - Kaplan Higher Education Pty Limited ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Tom Richardson | 2018 | 2011 - Bachelor of Commerce - - Deakin University ~ 2012 - RG 146 Securities and Managed Investments, Superannuation, Margin Lending - - Stockbrokers Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Wanhee Lee | 2003 | 2002 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - University of New South Wales ~ 2012 - Accredited Derivatives Adviser - Diploma (AQF 5) - Deakin Prime ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan ~ 2020 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| William Edward Richardson | 2014 | 2006 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2013 - RG146 - Diploma (AQF 5) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| William Gregg | 2016 | 2006 - Bachelor of Business Economics - - Hertfordshire University ~ 2015 - Accredited Derivatives Adviser Level 1 and 2 - Diploma (AQF 5) - Deakin Prime ~ 2016 - RG 146 - Diploma (AQF 5) - Mentor Education; RG146 Training Australia Pty Ltd |