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 |
|---|---|---|
| Aaron James Walshe | 2022 | 2020 - Bachelor of Commerce (Majoring in Finance) - Bachelor Degree (AQF 7) - Deakin University ~ 2020 - Bachelor of Laws - Bachelor Degree (AQF 7) - Deakin University ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University ~ 2022 - SMSF Regulations and Taxation - Other - Kaplan ~ 2023 - Margin Lending Specialist - Other - Kaplan |
| Adam Ezerins | 2012 | 2008 - Bachelor of Science (Biotechnology) / Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2010 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional Education ~ 2012 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2012 - Self-Managed Superannuation Funds - Other - Kaplan Professional Education ~ 2017 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia |
| Adrian Pelligra | 2013 | 2010 - Bachelor of Finance (Major in Financial Planning) - - LaTrobe University ~ 2014 - Accredited Margin Lending - - Kaplan ~ 2014 - Accredited SMSF - Other - Kaplan ~ 2017 - Certified Financial Planner - - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Anthony Dhillon | 2009 | 2006 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional Education ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Professional Education ~ 2015 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia |
| Barry Zeldenryk | 2004 | 2002 - Bachelor of International Finance - Bachelor Degree (AQF 7) - Griffith University ~ 2005 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 2008 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2008 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia ~ 2008 - Certified Financial Planner (CFP®) - - Financial Planning Association of Australia (FPA) |
| Bradley Peter Jackson | 1997 | 1991 - Bachelor of Commerce/Laws - Bachelor Degree (AQF 7) - University of Tasmania ~ 2001 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute of Australia |
| Brendan William John Smith | 2012 | 2006 - Bachelor of Finance - Bachelor Degree (AQF 7) - La Trobe University ~ 2009 - Diploma of Financial Services - Diploma (AQF 5) - Kaplan Professional ~ 2011 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2016 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia |
| Cameron Santomartino | 0 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - La Trobe University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Christopher Crough | 2007 | 2007 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2008 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2014 - ASX Accredited Listed Product Adviser - Other - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| David Alan Howell | 2004 | 1994 - Bachelor of Business (Economics & Finance) - Bachelor Degree (AQF 7) - RMIT ~ 1999 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2005 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2011 - Margin Lending and Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Cavendish & ICFS Specialist SMSF Course - Other - Cavendish |
| David Jackson | 2000 | 2002 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Tribeca Learning ~ 2006 - Self Managed Superannuation Funds - Other - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional Education |
| David Pitt | 2004 | 2002 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2011 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia |
| Duncan Logie | 2011 | 2002 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Tasmania ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2012 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Certified Financial Planner - Professional Designations - Financial Planning Association |
| Gavin Colosimo | 2012 | 2005 - Bachelor of Commerce (Finance) - Bachelor Degree (AQF 7) - Deakin University ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2013 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2014 - ASX Accredited Listed Products Adviser - Other - Kaplan Professional ~ 2016 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia |
| Graeme Lawrence Quinlan | 2000 | 2004 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - AMP Financial Services ~ 2005 - Self Managed Superannuation Fund - Other - Tribeca Learning ~ 2006 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2014 - ASX Accredited Listed Products Adviser - Other - Kaplan Professional |
| Hei Man Ngai | 2010 | 2008 - Bachelor of Communications (Media) - Bachelor Degree (AQF 7) - RMIT University ~ 2010 - Master of Business (Banking & Finance) - Masters Degree (AQF 9) - Monash University |
| James Grixti | 0 | 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| James Wrigley | 2012 | 2005 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2006 - Certificate IV in Superannuation - Certificate (AQF 1-4) - ASFA ~ 2010 - Graduate Diploma of Applied Finance (Financial Planning) - Graduate Diploma (AQF 8) - Kaplan Professional Education ~ 2011 - Self Managed Superannuation Funds - Other - Kaplan Professional Education ~ 2013 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia |
| Jason Croft | 2014 | 2011 - Bachelor of Business and Commerce - - Monash University ~ 2014 - Diploma of Financial Planning - - Mentor Education ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Jimmy Truong | 0 | 2017 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University ~ 2024 - SMSF Regulations and Taxation - Other - Kaplan |
| Joel Michael Gleeson | 2023 | 2018 - Bachelor of Business (Economics & Finance) (Applied) - Bachelor Degree (AQF 7) - RMIT University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education |
| Jonathan Stewart Henderson | 2023 | 2018 - Accredited Derivatives Adviser Level 1 - Other - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Joseph Ghantous Akiki | 2017 | 2004 - Bachelor of Monash Business & Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2010 - Certificate 3 in Financial Services - - Commonwealth Bank ~ 2011 - Certificate 4 Financial Services - - Commonwealth Bank ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2018 - Advance Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2024 - Master of Business Administration - Masters Degree (AQF 9) - Australian Institute of Business |
| Joshua Anthony Scipione | 2014 | 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2014 - Bachelor of Commerce (Economics, Finance & Financial Planning) - - Deakin University ~ 2014 - Diploma of Financial Planning - - Kaplan Professional |
| Julian Peter Manning | 0 | 2022 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - University of South Australia ~ 2022 - Business Law / Companies and Partnership Law - Other - University of South Australia ~ 2022 - Taxation Law 1 - Other - University of South Australia ~ 2023 - SMSF Regulations and Taxation - Other - Kaplan Professional |
| Luke Benjamin Broxton | 2006 | 2008 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2011 - SMSF Specialist - - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Matthew Ivan Benic | 2023 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2021 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Nathaniel Johnston | 2023 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nicholas Brian Thomas | 2011 | 2008 - Bachelor of Commerce (Financial Planning, Finance, Sport Management) - Bachelor Degree (AQF 7) - Deakin University ~ 2015 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia |
| Nicola Donato | 2023 | 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Nicole Gullone | 2016 | 2012 - Bachelor of Accounting / Bachelor of Finance - Bachelor Degree (AQF 7) - La Trobe University ~ 2017 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia |
| Nigel Judd | 2007 | 2000 - Bachelor of Arts - - University of Melbourne ~ 2000 - Bachelor of Commerce - - University of Melbourne ~ 2012 - Certified Financial Planner - - FPA ~ 2012 - Graduate Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Pablo Vilela | 2013 | 2012 - Diploma of Financial Planning - - Integrity Education Group ~ 2013 - Advanced Diploma of Financial Planning - - Integrity Education Group ~ 2013 - Diploma of Life Insurance - - Integrity Education Group ~ 2015 - Practice of Margin Lending - - Integrity Education Group |
| Paul Anthony Cupic | 2018 | 2016 - Bachelor of Commerce - - Deakin University ~ 2018 - Specialist SMSF course - - Super Concepts & International Centre for Financial Services ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Peter Daniel White | 2013 | 2008 - Bachelor of Business (Economics and Finance) - - RMIT University ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Self Managed Superannuation Funds - Other - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Other - Kaplan ~ 2021 - Debt Strategies - Other - Kaplan |
| Robert Sawyer Petrie | 1996 | 2001 - Diploma of Financial Planning - - Deakin University ~ 2002 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia |
| Roel Burghouwt | 2007 | 2002 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2014 - ASX Accredited Listed Product Adviser - Other - Kaplan Professional |
| Ryan John Sgarioto | 2024 | 2019 - Bachelor of Business (Entrepreneurship) - Bachelor Degree (AQF 7) - RMIT ~ 2020 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University ~ 2020 - Commercial Law - Other - RMIT University ~ 2020 - Taxation 1 - Other - RMIT University ~ 2023 - SMSF Regulations & Taxation - Other - Kaplan Professional |
| Shaun Robert Albert | 2016 | 2013 - Diploma of Financial Planning - - Investment Banking Institute ~ 2014 - Advanced Diploma of Financial Planning - - Investment Banking Institute ~ 2017 - Graduate Diploma of Financial Planning - - Kaplan |
| Stefanie Falleti | 2016 | 2012 - Bachelor of Accounting / Bachelor of Finance - Bachelor Degree (AQF 7) - La Trobe University ~ 2017 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia |
| Yanyu Zhao | 0 | 2023 - Economic and Legal Context for Financial Planning - Other - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Taxation for Financial Planning - Other - Kaplan Professional |