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 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;
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 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;
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 |
|---|---|---|
| Adrian Trinchera | 2016 | 2016 - Bachelor of Commerce (Majoring in Financial Planning and Finance) - Bachelor Degree (AQF 7) - Deakin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Andrew Mcdougall | 2002 | 1992 - Bachelor of Economics - - La Trobe University ~ 2004 - Diploma of Financial Services (Financial Planning) - - Integratec, Kaplan Professional ~ 2020 - FASEA (Financial Adviser) Exam - Other - FASEA |
| Andrew Rafty | 1997 | 1980 - Bachelor of Engineering (Civil Engineering) - - The University of New South Wales ~ 1997 - CFP - - FPA ~ 1997 - Diploma of Financial Planning - - FPA ~ 2014 - Margin Lending - - Kaplan ~ 2018 - SMSF Core Course - Other - DBA Network Pty Ltd |
| Anthony Demetriou | 2016 | 2005 - Bachelor of Commerce - - LaTrobe University ~ 2009 - Diploma of Financial Services - - ThreeSixty ~ 2021 - FASEA (Financial Planning) Exam - Other - FASEA |
| Aruna Baskaran | 2007 | 2010 - Diploma in Financial Services (Financial Planning) and Advanced diploma 5 - 6 - - Kaplan Professional ~ 2019 - FASEA Exam - Other - FASEA ~ 2020 - Ethics and Professional in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Behrang Keshavarzi | 2015 | 2011 - Diploma of Financial Services - - International Institute of Technology (IIT) ~ 2014 - Principles of Self managed Superannuation Funds - Other - IIT ~ 2015 - Advanced diploma of financial planning - - RG146 Australia/Mentor education. ~ 2015 - Certificate of Margin Lending - - IIT |
| Brett Michael Sibbison | 2005 | 2007 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Finsia ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Brett Ricchini | 1998 | 1991 - Bachelor of Commerce (Accounting and Law) - - Deakin University ~ 2004 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca, Kaplan Professional ~ 2010 - Certified Financial Planner (CFP®) - - Financial Planning Association of Australia (FPA) ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice (FPC002B) - Bridging Course - Ethics - Kaplan Professional |
| Christopher John Elliott | 2003 | 2002 - Diploma of Financial Markets - - Securities Institute of Australia ~ 2005 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2006 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2010 - DPML Margin Lending - Other - Pinnacle Financial Services Academy ~ 2017 - SMSF Core Course - Other - DBA Network Pty Ltd |
| Daniel Testa | 2016 | 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2015 - Advanced Diploma Of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute |
| David Tran | 2016 | 2015 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - University of South Australia ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Accredited Listed Product Adviser Program - Other - Kaplan |
| Endre Lloyd-johnsen | 2015 | 2001 - Bachelor of Business - Bachelor Degree (AQF 7) - La Trobe University ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2020 - FASEA (Financial Adviser) Exam - Other - FASEA |
| Ian Clark | 1996 | 1991 - Chartered Accountant - - Institute of Chartered Accountants ~ 1996 - Certified Financial Planner (CFP®) - - Financial Planning Association of Australia (FPA) ~ 2000 - ACA Financial Planning Specialist - - ACA (CA) ~ 2020 - Ethics and Professionalism in Financial Advice (FPC002B) - Bridging Course - Ethics - Kaplan Professional ~ 2020 - FASEA (Financial Adviser) Exam - Other - FASEA |
| Ian Raymond Evans | 2014 | 2014 - Diploma of Financial Planning - - Kaplan Education ~ 2016 - Advanced Diploma of Financial Planning - - Integrity Education Group ~ 2021 - FASEA (Financial Adviser) Exam - Other - FASEA ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Jan Molnar | 2009 | 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2014 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2016 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2018 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2019 - FASEA Exam - Other - FASEA |
| Jessica Marie Bell | 2018 | 2016 - Bachelor of Commerce (Majoring in Financial Planning and Accounting) - Bachelor Degree (AQF 7) - Deakin University ~ 2020 - Financial Adviser Exam - Other - FASEA Standards Authority ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jonathan Lance Scholes | 2005 | 2000 - Bachelor of Commerce - - Deakin University ~ 2005 - Diploma of Financial Planning (2005) & Foundation DFP (2004) - Diploma (AQF 5) - Deakin University ~ 2007 - CFP Certified Financial Planner - - FPA ~ 2010 - DPML Margin Lending - - Pinnacle Financial Services Academy ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Joshua Denes Fredkin | 2024 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Justin Karl Pratt | 2008 | 1997 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Wollongong ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Mentor Education ~ 2011 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2013 - Specialist SMSF Course - Other - The University of Adelaide ~ 2014 - Life Risk Specialist - Professional Designations - Financial Planning Association of Australia |
| Kane Ellery | 2008 | 2011 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2020 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Kevin Eamonn Mcgrath | 2017 | 2009 - Bachelor of Arts (Honours) in Financial Services - - Higher Education and Training Awards Council ~ 2016 - Diploma of Financial Planning - - Monarch Institute ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Kim TO Nga Nguyen | 2012 | 1997 - Bachelor of Commerce Banking & Finance - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2004 - Certified Financial Planning - Professional Designations - Financial Planning Association of Australia ~ 2020 - Ethics & Professionalism in Finance Advice - Other - Kaplan |
| Kylie Louise Maslin | 2012 | 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2013 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional ~ 2014 - Diploma of Finance and Mortgage Broking Management - - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Lee Yuin Chew | 2022 | 2014 - Bachelor of Commerce (Accounting & Finance) - Bachelor Degree (AQF 7) - University of Melbourne ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - FASEA Financial Planning Exam - Other - FASEA ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2021 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Luke Dylan Miraglia | 2024 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2022 - Accredited Aged Care Professional - Other - Aged Care Steps ~ 2023 - Ethics and Professionalism in Financial Advice - Other - Kaplan Professional |
| Matthew Parrella | 2012 | 2007 - Diploma of Financial Services (Financial Planning) - - AMP ~ 2008 - Bachelor of Commerce (Financial Planning) - - Deakin ~ 2011 - CFP - - FPA ~ 2017 - SMSF Core Course - - DBA |
| Matthew Swieconek | 2000 | 1997 - Bachelor of Commerce - - University of Tasmania ~ 2003 - Graduate Diploma of Applied Finance & Investment - - Kaplan ~ 2015 - Margin Lending - - Kaplan |
| Meher Chatterjee | 2010 | 1983 - Bachelor of Arts - Advanced Diploma (AQF 6) - University of Calcutta, India ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2020 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Melissa Brunow | 2011 | 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2020 - FASEA (Financial Planning) Exam - Other - FASEA |
| Michelle Anne Loughhead | 2005 | 2004 - Diploma of Financial Services (Financial Planning) - - ThreeSixty ~ 2007 - Advanced Diploma of Financial Services (Financial Planning) - - ThreeSixty ~ 2018 - Graduate Certificate in Financial Planning - - Griffith University ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Murray Raymond Nicol | 2004 | 2004 - Diploma of Financial Advising - - Securities Institute ~ 2007 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia Ltd ~ 2007 - Graduate Diploma of Applied Finance and Investment - - Finsia ~ 2010 - SMSF Specialist Advisor (SSA) accreditation program - - SMSF Association ~ 2012 - Accredited Listed Product Adviser - - Kaplan |
| Nicholas Lee | 2011 | 2010 - Bachelor of Commerce - - University of Melbourne ~ 2010 - Bachelor of Science - - University of Melbourne ~ 2016 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice (FPC002B) / FASEA Exam - Other - Kaplan Professional / FASEA ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Pandeli Halamandaris | 2007 | 1991 - Advanced Certificate in Accounting - - Prahran College of TAFE ~ 1991 - Associate Diploma of Business (Accounting) - - Prahran College of TAFE ~ 2008 - Diploma of Financial Services (Financial Planning) - - Holmesglen ~ 2012 - Margin Lending & Geared Investments - - Kaplan ~ 2021 - FASEA (Financial Planning) Exam - Other - FASEA |
| Ratu Jone Navitalai Ravetali | 2023 | 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2022 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - University of Technology Sydney ~ 2023 - Accredited Aged Care Professional - Other - Aged Care Steps ~ 2024 - Limited Recourse Borrowing Arrangements - Certificate (AQF 1-4) - Super Concepts ~ 2024 - SMSF Specialist Adviser - Other - Self Managed Super Fund Association |
| Robert DI Felice | 2014 | 2008 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Tasmania ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2014 - Margin Lending - Other - Kaplan ~ 2016 - Life Risk Specialist - Professional Designations - FPA ~ 2020 - FASEA Exam - Other - FASEA |
| Ryan Carroll | 2007 | 2009 - Diploma of Financial Services - - Kaplan ~ 2011 - Margin Lending & Geared Investments - - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2021 - FASEA (Financial Planning) Exam - Other - FASEA |
| Ryan John Sealey | 2010 | 2008 - Bachelor Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Deakin University |
| Scott William Redpath | 2007 | 2006 - Diploma of Business (Banking & Finance) - - Holmesglen Institute of TAFE ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2015 - Graduate Certificate in Applied Finance - Graduate Certificate (AQF 8) - Kaplan ~ 2016 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2019 - FASEA Exam - Other - FASEA |
| Shane Hilton | 1997 | 2000 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2000 - Certified Financial Planner (CFP®) - - Financial Planning Association of Australia (FPA) ~ 2000 - Diploma of Financial Planning - - Deakin University, FPA ~ 2013 - Professional Certificate in Self Managed Superannaution Funds - - The University of Adelaide ~ 2021 - FASEA Financial Planning Exam - Other - FASEA |
| Simon Hussey | 1997 | 1997 - Superannuation Management - Certificate (AQF 1-4) - ASFA ~ 2001 - CFP Award - Professional Designations - CFP ~ 2001 - Diploma of Financial Planning (DFP1-8) - Diploma (AQF 5) - FPA ~ 2010 - Foundation Tax Course - Certificate (AQF 1-4) - Tax Institute of Australia ~ 2014 - Life Risk Specialist - - Financial Planning Association |
| Simone Megan Vasnaik | 2024 | 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2023 - Financial Adviser Exam - Other - ASIC |
| Sosha Mullasseril Jay | 2024 | 2020 - Bachelor of Commerce (Finance & Marketing) - Bachelor Degree (AQF 7) - Monash University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Financial Adviser Exam - Other - ASIC |
| Stephanie Yeung | 2010 | 2002 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2018 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) ~ 2018 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Mentor Education ~ 2020 - Aged Care Accreditation - Other - Aged Care Gurus ~ 2023 - Margin Lending Specialist - Other - Kaplan Professional |
| Stuart Aaron Mcrae | 2018 | 2014 - Bachelor of Accounting - - LaTrobe University |
| Stuart John Howard | 2013 | 1998 - BA (Hons) Economics - - De Montfort University UK ~ 1999 - Certificate in Financial Planning - - Britannic Assurance (UK) ~ 2003 - CeMap (Mortgage qualification) - - Willow Financial Management (UK) ~ 2013 - Diploma of Financial Planning - - Intellitrain |
| Terence Verhaar | 2018 | 2014 - Bachelor of Commerce (Financial Planning) - - Griffith University ~ 2015 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2018 - Accredited Aged Care Professional / Business Insurance MasterClass - Other - Aged Care Steps / TAL ~ 2020 - Certified Financial Planner - Professional Designations - FPA ~ 2020 - Ethics & Professionalism - Other - Griffith University |
| Terry Hodge | 2001 | 2003 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) ~ 2008 - Self Managed Superannuation Funds - - Commonwealth Financial Planning ~ 2011 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2011 - Certified Financial Planner (CFP®) - - Financial Planning Association of Australia (FPA) |
| Tracey Leanne Burns | 1999 | 1991 - Bachelor of Business - - Ballarat University College ~ 2001 - Chartered Professional Accountant Program (CPA) - - CPA ~ 2006 - Certified Practising Accountant - - CPA ~ 2017 - SMSF Core Course - Other - DBA Network Pty Ltd ~ 2021 - Ethics & Professionalism in Financial Advice - Other - Kaplan Professional |
| Tristan Walker | 2016 | 2000 - Bachelor of Business - - Griffith University ~ 2002 - Bachelor of Business (Accountancy) - - Royal Melbourne Institute of Technology ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2019 - FASEA Financial Planning Exam - Other - FASEA |
| Tuan LE | 2003 | 2001 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Australian National University ~ 2004 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA/Deakin University ~ 2007 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2023 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| William Jack Kelly | 2018 | 2017 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2022 - Ethics and Professionalism in Financial Advice - Other - Kaplan Professional |
| Yogen Suman Lal | 2010 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2016 - Margin lending - Personal Advice - - Kaplan Professional Education ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |