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 limited to:
old law securities options contracts and warrants;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aaron Demery | 2015 | 922 Derivatives - Knowledge and Skills - Kaplan ~ Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - The University of Newcastle ~ Diploma - Financial Planning - Kaplan |
| Alexander Morgan | 2016 | Bachelor of Business (Finance) - Charles Sturt University ~ Graduate Certificate in Finance - Charles Sturt University |
| Alison Jane Williamson | 1985 | Cert IV in Finance & Mortgage Broking - Kaplan ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Estate Planning - University of Technology Sydney ~ SMSF - Kaplan |
| Amy Grace Lippis | 2017 | Diploma of Financial Planning - KAPLAN |
| Amy Lee Hoad | 2017 | Advanced Diploma of Financial Planning - Integrity ~ Diploma of Financial Planning - KAPLAN |
| Amy Louise Peterson | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Andrew Chessum | 2018 | Financial Plan Construction & Review - Kaplan ~ Investment Planning 1 - Kaplan ~ Risk Management - Kaplan ~ Superannuation and Retirement Planning - Kaplan |
| Andrew James Kirby | 2009 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Services (Financial Planning) - FSTA |
| Anjali Deepak Mathur | 2018 | Bachelor of Science in Business - Wright State University |
| Ann LE | 2014 | Bachelor of Arts and Commerce - Deakin University ~ Diploma of Financial Services - Kaplan Professional |
| Anthony Amodeo | 2016 | Bachelor of Commerce (Major: Financial Planning & Accounting) - Deakin University ~ DFP 4 - Kaplan |
| Anthony Ronald Joseph Davies | 2004 | Advanced Diploma of Financial Services - Kaplan ~ Diploma of Financial Services - Kaplan ~ Margin Lending & Geared Investments - Kaplan ~ SMSF - Kaplan |
| Antony Joseph Reaiche | 2005 | Advanced Self Managed Super Funds Program - Kaplan ~ Advice in Practice (Aged Care) - Aged Care Steps ~ Bachelor of Business (Financial Planning) - RMIT ~ The Strategic Advice Steps for Aged Care - Aged Care Steps |
| Asel Bolotbek Kyzy | 2017 | Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Higher Education Pty Ltd |
| Audra Beerling | 2009 | AMP & ICFS Specialist SMSF Course - The University of Adelaide ~ Accredited Listed Product Adviser Program - Kaplan ~ Bachelor of Commerce (Financial Planning) (Qualification) - University of the Sunshine Coast (USC) ~ Margin Lending - Pinnacle ~ Master of Financial Planning - Griffith University |
| Bishal Chhetri | 2018 | Accredited Listed Product Adviser Program - Kaplan ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Integrity Education Group |
| Bjorn Elix | 2016 | Advanced Diploma Financial Services (Financial Planning) - Kaplan ~ Diploma Financial Services (Financial Planning) - Kaplan ~ Margin Lending - Kaplan ~ Self Managed Super Funds - Kaplan |
| Brandt Reece Piercy | 2000 | Advanced Diploma Financial Planning - Kaplan ~ Certificate in Financial Markets - FINSIA |
| Brant James Weir | 2009 | Bachelor of Finance - University of Adelaide ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Applied Finance - Kaplan |
| Cameron Duncan Darrow | 2001 | Cert IV in Finance & Mortgage Broking - Kaplan ~ Diploma of Financial Planning - Securities Institutie |
| Caroline Brown | 1988 | Cert IV in Finance & Mortgage Broking - Kaplan ~ Diploma of Financial Planning - FPA ~ Margin Lending & Geared Investments - Kaplan ~ SMSF - Kaplan |
| Chelsea Lauren Schar | 2016 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor of Commerce (Corporate Finance) - The University of Adelaide ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Applied Finance (Financial Planning) - Charles Sturt University |
| Christine Ann Ferguson | 2004 | Bachelor of Commerce (Accounting and Finance) - Curtin University of Technology ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services - AMP Financial Planning ~ Financial Planning in Practice - International Institute of Technology ~ Graduate Certificate in Applied Finance - Kaplan Professional |
| Craig Rothall | 2011 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Applied Finance - University of South Australia ~ Diploma of Financial Planning - Kaplan ~ Self Managed Super Funds - Kaplan |
| Daniel Viorel Micutz | 2012 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Design (Multimedia Design) - Swinburne University of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |
| David Geoffrey Mead | 2014 | Advanced Diploma in Financial Planning - Mentor Education ~ Bachelor of Arts in Accountancy - Univeristy of South Australia ~ Certificate in Margin Lending - Kaplan Professional Education ~ Diploma in Financial Planning - Mentor Education |
| David John Henry | 1993 | ALPA - Kaplan ~ CFP - FPA ~ Dip FP - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan ~ SMSF - Kaplan |
| David Stephen O'connell | 2000 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Debbie Mary Smith | 1990 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - Mentor Education |
| Dianne Chalk | 1987 | Accredited Aged Care Professional - Aged Care Steps ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Frank George Khouri | 2003 | Bachelor of Business - University of Technology Sydney ~ Cert IV in Finance & Mortgage Broking - Kaplan ~ Margin Lending & Geared Investments - Kaplan ~ SMSF - Kaplan |
| Glenn Treacy | 2000 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan |
| Gurbinder Singh Gill | 1994 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Management with Honours - University of Science Malaysia ~ Diploma of Financial Services (Financial Planning) - FINSIA ~ Margin Lending - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Haden Lacey | 2016 | Bachelor of Commerce - Griffith University ~ Ethics and Professionalism - Griffith university ~ Master of Financial Planning - Griffith University |
| Hamish Alexander Mclean-perry | 2018 | Accredited Aged Care Professional - Aged Care Steps ~ Advanced Diploma Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Certificate in Commerce - University of Sydney ~ Master of Business (Banking and Finance) - Monash University |
| Inderjit Singh | 2018 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Diploma of Superannuation - Association of Superannuation Funds Association ~ Margin Lending and Geared Investments - Kaplan Education |
| James Anthony Campbell | 1993 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| James Wearn | 2022 | Graduate Diploma of Financial Planning - Kaplan |
| Jan Hendrik Swanepoel | 2015 | Bachelor of Commerce (Insurance Science) - University of Pretoria (Sth Africa) ~ Cert IV in Finance & Mortgage Broking - International Institute of Technology ~ Diploma of Finance and Mortgage Broking Management - International Institute of Technology ~ Diploma of Financial Planning - International Institute of Technology ~ Post Graduate Diploma in Financial Planning - University of Stellenbosch (Sth Africa) |
| Jarryd Baxter | 2016 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business - QUT ~ Diploma of Financial Planning - Kaplan |
| Jeffrey Ian Frame | 2001 | Bachelor of Economics - University of Tasmania ~ Diploma of Financial Planning - Deakin University ~ Graduate Diploma of Social Science - University of Tasmania ~ Margin Lending & Geared Investments - Kaplan ~ SMSF - Kaplan |
| Joshua Graham Charters | 2018 | Bachelor of Economics - The University of Queensland ~ Diploma of Financial Planning - Monarch Institute |
| Judith Ruth Hughes | 2002 | Diploma of Financial Planning - Deakin University / FPA ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Jun Seop Will Han | 0 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Karen Sowle | 2008 | Associate Diploma in Business - SAIT ~ Bachelor of Business - University of South Australia ~ CFP - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma in Financial Planning - FINSIA |
| Kevin John Tate | 2001 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional |
| Lauren Shen | 2006 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Certificate III in Financial Services (General Insurance) - AMP Limited ~ Diploma of Business (Banking and Finance) - TAFE NSW ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Leasa May Collins | 1998 | Cert IV in Finance & Mortgage Broking - AAMC Training Group ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Margin Lending & Geared Investments - Kaplan ~ SMSF - Kaplan |
| Leigh Raymond Cuthbertson | 2016 | Bachelor of Economics - University of Tasmania ~ Diploma of Financial Planning - Mentor Education |
| Leon Patrick Versace | 2009 | Diploma of Financial Planning - Financial Planning Association ~ Self Managed Superannuation Funds - Kaplan Professional |
| Linda Austin | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Lonnie John Weeks | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - KAPLAN Professional Education |
| Louis Randles | 2023 | Graduate Diploma in Financial Planning - Kaplan Professional |
| Lyndsay Wayenberg | 2015 | Advanced Diploma Financial Planning FNS60410 - Kaplan Australia ~ Diploma Financial Services (Financial Planning) FNS50804 - Kaplan Australia |
| Maria Faskheeva | 2016 | Bachelor Commerce - University of Adelaide ~ Diploma Financial Planning FNS50611 - Kaplan Australia ~ RG146 928 Margin Lending - Kaplan Australia ~ RG146 Securities & Managed Investments - Kaplan Australia |
| Marie Louise Muscat | 1999 | Certi IV in Finance & Mortgage Broking - Kaplan ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Deakin University ~ Margin Lending & Geared Investments - Kaplan ~ SMSF - Kaplan |
| Mark Shrimplin | 2002 | Advanced Diploma Financial Services (Financial Planning) - Tribeca ~ Ethics and Professionalism in Financial Planning - Kaplan ~ Fellow Chartered Financial Practitioner (FChFP) - Association of Financial Advisers (AFA) ~ Graduate Certificate in Financial Planning - Griffith University ~ Graduate Diploma of Financial Planning - Griffith University |
| Mark Taylor | 1995 | Diploma of Financial Planning - Financial Planning Association (FPA) ~ Self Managed Superannuation Funds - Mentor |
| Martin Ming Lin | 2014 | Advanced Diploma of Financial Planning - RG146 Training Australia ~ Bachelor of Commerce - University of Melbourne ~ Diploma of Financial Services (Financial Planning) - RG146 Training Australia ~ Self Managed Superannuation Fund Accreditation - Kaplan |
| Maryanne Hamilton | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce (Accounting) - James Cook University ~ Bachelor of Economics - James Cook University ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Mataan Dunning | 2006 | Advanced Diploma Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Applied Finance - University of South Australia ~ Bachelor of Commerce - University of South Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Michael Joseph Murray | 2018 | Advanced Diploma Financial Planning - Monarch Institute ~ Diploma Financial Planning - Monarch Institute ~ Graduate Diploma of Financial Planning - Deakin University |
| Michael Owen Nealand | 2016 | Bachelor of Financial Administration - University of New England ~ Certified Practising Accountant - CPA Australia ~ Diploma of Financial Planning - Mentor Education ~ Public Practice Licence - CPA Australia |
| Michael Roberts | 1984 | Certified Financial Planner - FPA ~ Diploma of Financial Planning - Deakin University ~ Graduate Diploma of Advanced Taxation Studies - University of New South Wales ~ Graduate Diploma of Management - University of Wollongong |
| Michelle Joy Halvorsen | 2002 | Bachelor of Commerce in Financial Planning & Investment - Griffith University ~ Cert IV in Finance & Mortgage Broking - Kaplan ~ Margin Lending & Geared Investments - Kaplan ~ SMSF - Kaplan |
| Nicole Yunfei Niu | 2013 | Advanced Diploma of financial planning - mentor education ~ Apply legal principles in commercial law when providing tax (financial) advice services - Monarch Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending - Mentor ~ Master of Business (Banking & Finance) - Monash University |
| Paul John Gubecka | 2018 | Bachelor of Commerce - Griffith University ~ Certified Practising Accountant (CPA) - CPA Australia ~ Diploma of Superannuation - ASFA ~ Masters of Laws - Australian National University |
| Peter James Orr | 2003 | Certi IV in Finance & Mortgage Broking - Kaplan ~ Diploma of Financial Markets - Securities Insitute ~ Diploma of Financial Planning - Financial Planning Association (FPA) ~ Margin Lending & Geared Investments - Kaplan |
| Peter Jones | 1995 | Diploma of Financial Planning - Financial Planning Association (FPA) |
| Pradipkumar Dayalbhai Parmar | 2018 | BACHELOR OF SCIENCE - S.P. UNIVERSITY ~ DIPLOMA IN FINANCIAL PLANNING - MENTOR EDUCATION ~ DIPLOMA IN MORTGAGE BROKING - AUSTRALIAN COLLEGE OF PROFESSIONALS ~ MASTER OF BUSINESS ADMINISTRATION - SAURASHTRA UNIVERSITY ~ MASTERS OF INFORMATION TECHNOLOGY - UNIVERSITY OF BALLARAT |
| Rashmi Shankar | 2002 | Bachelor of Commerce - Bangalore University ~ Diploma of Financial Services - Kaplan Professional |
| Renee Jane Hush | 2007 | Advanced Diploma Financial Services (Financial Planning) FNS60404 - Pinnacle Financial Services Academy ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma Financial Services (Financial Planning) FNS50804 - Kaplan Australia ~ RG146 Provide advice in Margin Lending - MLC ThreeSixty |
| Richard Piesse | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Investment Products 1 - Kaplan Professional |
| Richard Sean Press | 1990 | Diploma of Financial Planning - Financial Planning Assocation of Australia (FPA) |
| Richard Wyn Pritchard | 2015 | Advanced Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ Certificate IV in Finance and Mortgage Broking - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) |
| Robby John Southall | 1996 | Advanced Diploma Financial Planning - Tribeca |
| Robert Henry Dravers | 2018 | Advance Diploma of Financial Planning - Kaplan ~ Diploma Of Financial Planning - Kaplan ~ The Certified Diploma in Accounting - The Association of Certified Accountants |
| Rodney Mark Lavin | 1988 | Accredited Listed Product Adviser Program (ALPA) - Kaplan Professional ~ Bachelor of Economics - Monash University ~ Diploma of Financial Planning - Financial Planning Assocation of Australia ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Margin Lending - Kaplan Professional |
| Rosland Elizabeth Whitehead | 2011 | Bachelor of Arts - Rhodes University (South Africa) ~ Bachelor of Laws (LLB) - Rhodes University (South Africa) ~ Diploma of Financial Planning - Kaplan ~ Graduate Certificate in Financial Planning - University of the Orange Free State (South Africa) |
| Ross Andrew Dwyer | 2011 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma Financial Advising - Securities Institute ~ Self Managed Superannuation Funds - Kaplan Australia |
| Ryan Phillips | 2024 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Satinder Kaur | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of Commerce in Business Economics - Panjab Univeristy ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Postgraduate Diploma in Business Management - New Delhi Institute of Management |
| Sean Courtney Tanner | 2008 | Bachelor Degree - Management - University of South Australia ~ Diploma - Financial Planning - Kaplan |
| Shane Michael Pinkerton | 1999 | Advanced Diploma of Financial Planning - Deakin University ~ Cert IV in Finance & Mortgage Broking - Kaplan ~ Margin Lending & Geared Investments - Kaplan ~ SMSF - Kaplan |
| Simon Ashley John Thomson | 2018 | Diploma of Financial Planning - Kaplan ~ Graduate Diploma in Financial Planning - Universita Hiberniae Nationalis |
| Stephanie Liah Broom | 2018 | Bachelor of Commerce (Financial Planning) - University of Wollongong ~ Bachelor of Laws - University of Wollongong ~ Graduate Diploma in Legal Practice - College of Law |
| Stephen Darren Kelly | 1987 | Advanced Diploma Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Superannuation Management - Macquire University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ RG 146 Tier 1 Specialist Margin Lending Course - International Institute of Technology ~ Self Managed Superannuation Funds - Tribeca |
| Stephen Mark Batchelor | 1995 | Diploma of Financial Planning - Pinnacle |
| Stephen Rodney Ahern | 2018 | Diploma of Financial Planning - International Institute of Technology |
| Tiffany Thorogood | 2018 | Advanced Diploma of Financial Planning - Integrity Education ~ Graduate Diploma of Financial Planning - Kaplan |
| William Gregory Woods | 2004 | Diploma of Financial Advising - Securities Institue ~ Margin Lending & Geared Investments - Kaplan ~ SMSF - Kaplan Training |