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;
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;
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 |
|---|---|---|
| Andrew Harrison | 2000 | 2010 - Certified Financial Planner - - Financial Planning Association of Australia |
| Andrew Lippiatt | 2004 | 2004 - Diploma of Financial Services (Financial Planning) - - Integratec ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2015 - Self Managed Superannuation Funds - Other - International Institute of Technology ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Andrew Nathan Corrin | 2018 | 2005 - Advanced Diploma of Financial Services - - Kaplan ~ 2012 - DPML Margin Lending - - Pinnacle ~ 2022 - Accredited Listed Product Adviser Program - Other - Kaplan ~ 2022 - Self Managed Superannuation Funds - Other - Kaplan ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Bill Savellis | 2002 | 2004 - Advanced Diploma of Financial Services - - ThreeSixty ~ 2008 - Master of Financial Planning - - University of the Sunshine Coast ~ 2011 - Margin Lending & Geared Investments - - Kaplan ~ 2014 - Self Managed Superannuation Funds - - Kaplan ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan |
| Brett John Kelly | 2009 | 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - FNS60404 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2014 - FNS40811 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional Education |
| Duncan Murray Charles Macintosh | 1999 | 2001 - DFP 1 - Introduction to Financial Planning - - Financial Planning Association ~ 2002 - DFP 2 - Risk Management & Insurance Planning - - Financial Planning Association ~ 2002 - DFP 4 - Superannuation and Retirement Planning - - Integratec ~ 2003 - DFP 3 - Investment Planning 1 - - Integratec ~ 2011 - Margin Lending and Geared Investments - - Kaplan |
| Fernando Gomes Casanova | 2003 | 2004 - Diploma of Financial Services (Financial Planning) - - AMP Limited ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - - AMP Limited ~ 2005 - Certificate IV Financial Services (Finance/Mortgage Broking) - - Tribeca ~ 2016 - Diploma of Finance and Mortgage Broking Management - - Institute of Strategic Management ~ 2019 - Graduate Certificate in Financial Planning - - Griffith University |
| George Pereira | 2004 | 2005 - Diploma Financial Services (Financial Planning) - - Tribeca ~ 2012 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2012 - Master of Commerce (Financial Planning) - - University of Western Sydney ~ 2012 - Self Managed Super Funds - - Kaplan Professional ~ 2014 - Accredited Listed Product Adviser Program - - Kaplan Professional |
| Ilias Theodore Stoikos | 1995 | 2009 - Diploma of Financial Services - - Mentor ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan ~ 2017 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education |
| Jesse David Yates | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - AMP Financial Planning ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2015 - Cavendish & ICFS Specialist SMSF Course - - University of Adelaide ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional Education |
| John David Stallman | 1987 | 1982 - Bachelor of Applied Science - Bachelor Degree (AQF 7) - The Queensland Agricultural College ~ 1985 - Diploma in Financial Management - Diploma (AQF 5) - The University of New England ~ 1992 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2015 - Certificiate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2018 - Self Managed Superannuation Fund - Diploma (AQF 5) - Kaplan Professional |
| John Kiley | 1994 | 1992 - Bachelor of Commerce - - Australian National University ~ 2000 - Diploma of Financial Planning - - Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - Certificate IV in Credit Management - - Kaplan Education ~ 2015 - Principles in Self Managed Superannuation Funds - - International Institute of Technology |
| Katherine Spitzkowsky | 2018 | 2016 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University |
| Lachlan Alexander Reynolds | 1989 | 1998 - DFP 1, DFP3, DFP4, DFP6 - - Financial Planning Association ~ 2003 - Risk Management - - Kaplan ~ 2003 - Taxation Planning - - Integratec ~ 2011 - Margin Lending and Geared Investments - - Kaplan |
| Lachlan Douglas Sunderland Schonfelder | 1995 | 2004 - Diploma of Financial Planning - - Financial Planning Association |
| Lee James Forde | 2000 | 1999 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2003 - Diploma of Financial Planning (1-8) - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2005 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia (FPA) ~ 2018 - Specialist Self Managed Superannuation Funds - Certificate (AQF 1-4) - International Institute of Technology ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Louise Laing | 2017 | 2017 - DFP5 Tax for Financial Advising - Other - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2020 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Lynette Murray | 1998 | 2003 - Certified Financial Planner - - Financial Planning Association ~ 2004 - ASX Listed Products Accredited Course (LPAC) - - Alpha Structred Investments Pty Ltd ~ 2004 - Masters of Financial Planning - - University of Southern Queensland ~ 2009 - SMSF Specialist Adviser - - SMSF Association |
| Maxwell Reinhardt | 2005 | 2004 - Bachelor of Economics (Honours) - - University of Sussex UK ~ 2005 - Diploma of Financial Services - - Securities Institute ~ 2007 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - Finsia Education ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - Self Managed Super Funds - - Kaplan |
| Michael Alan Wilson | 2014 | 2014 - Cert IV in Finance & Mortgage Broking - - Australian College of Professionals ~ 2014 - Diploma of Finance & Mortgage Broking - - Australian College of Professionals ~ 2014 - Diploma of Financial Planning - - Australian College of Professionals |
| Michelle Baumanis | 2004 | 2003 - Diploma of Finance and Mortgage Broking Management - - AAMC ~ 2004 - Diploma of Financial Planning - - Kaplan |
| Michelle Kelly | 2001 | 2007 - Diploma of Financial Planning - - FPA ~ 2012 - Accredited Derivatives Adviser (Level I) - - Kaplan ~ 2012 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy ~ 2016 - Tier 1 Margin Lending - Personal Advice - Certificate (AQF 1-4) - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Muntasir Shams | 2022 | 2019 - Bachelor of Business (Applied Finance) - Bachelor Degree (AQF 7) - Western Sydney University ~ 2021 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Western Sydney University |
| Paul David Michael Gillmore | 2007 | 2007 - Diploma of Financial Services - - Dover Financial Training ~ 2011 - Certificate IV Financial Services (Mortgage Broking) - - Intellitrain ~ 2011 - Margin Lending & Geared Investments - - Kaplan ~ 2013 - Self Managed Superannuation Funds - - Kaplan ~ 2015 - Advanced Diploma of Financial Planning - - Mentor Education |
| Qian Wang | 2014 | 2005 - Master of Applied Economics (International) - - University of Adelaide ~ 2011 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Quentin Russell Matthew Moncrieff | 2013 | 2011 - Bachelor of Business (International Business) - Bachelor Degree (AQF 7) - James Cook University ~ 2013 - Diploma of Financial Planning FNS50610 - Diploma (AQF 5) - Kaplan Australia ~ 2013 - RG146 Securities Derivatives & Managed Investments - Diploma (AQF 5) - Kaplan Australia ~ 2016 - RG146 Margin Lending - Diploma (AQF 5) - Kaplan Australia |
| Raymond Hiung Ming Kan | 2001 | 1999 - Bachelor of Commerce - - University of Western Sydney ~ 2004 - Graduate Diploma of Applied Finance and Investment - - Securities Institute ~ 2008 - Graduate Diploma of Financial Planning - - FINSIA ~ 2015 - Diploma of Financial Planning - - Kaplan ~ 2020 - Margin Lending Skills Accreditation - Certificate (AQF 1-4) - Western Sydney University |
| Rebecca Rousell | 2012 | 2016 - Advanced Diploma of Financial Planning - - Kaplan ~ 2017 - Graduate Certificate in Financial Planning - - Kaplan ~ 2018 - Graduate Diploma in Financial Planning - - Kaplan ~ 2020 - FPC006 Tax and Commercial Law for Financial Planning - Other - Kaplan ~ 2020 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Robert Anthony Zajac | 2004 | 2002 - Bachelor of Commerce - - Griffith University ~ 2011 - Margin Lending and Geared Investments - - Kaplan |
| Ryan David Grant | 2008 | 2006 - Bachelor of Commerce (Financial Planning and Investments) - - Griffith University ~ 2007 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - The National Finance Institute ~ 2014 - Certification in Self Managed Super Funds - - RG146 Training Australia ~ 2014 - Margin Lending Certification - - Mentor Education ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Sandra Bowley | 1986 | 1992 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |
| Satendra Varma | 2002 | 2002 - Diploma of Financial Advising - - Securities Institute ~ 2015 - Self Managed Superannuation Funds - - International Institute of Technology ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Shayne John French | 1999 | 2004 - Diploma of Financial Services (Financial Planning) - - Integratec ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - The National Finance Institute ~ 2014 - Certified Financial Strategist - - Association of Independently Owned Financial Professionals |
| Sheila Weisshardt | 2003 | 2003 - Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan ~ 2003 - Diploma of Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan ~ 2006 - Self-Managed Superannuation Funds - Certificate (AQF 1-4) - Tribeca ~ 2010 - Margin Lending & Geared Investments - Certificate (AQF 1-4) - Kaplan ~ 2016 - Professional Certificate in Self-Managed Superannuation Funds - Graduate Certificate (AQF 8) - The University of Adelaide |
| Sonia Matkovic | 2008 | 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments - Other - Kaplan Professinal ~ 2012 - Certificate IV in Financial Services (Finance/Mortgage Broking) - Certificate (AQF 1-4) - International Institute of Technology ~ 2012 - Self Managed Super Fund - Professional Designations - International Institute of Technology ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology |
| William Medhurst | 1972 | 1999 - DFP1, DFP2 - - Financial Plannnig Association ~ 2001 - Superannuation and Retirement Planning - - Integratec ~ 2004 - Investment Planning 1 - - Integratec |
| Yasser Sam EL Shammaa | 1993 | 2004 - Advanced Diploma of Financial Services (Financial Planning) - - Integratec ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2014 - Certificate IV in Finance and Mortgage Broking - - Kaplan ~ 2015 - Self Managed Superannuation Funds - - International Institute of Technology ~ 2015 - TASA and the TPB Code of Professional Conduct - - Kaplan |