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 |
|---|---|---|
| Adam Ezerins | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of Science (Biotechnology) / Bachelor of Business - Swinburne University of Technology ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Diploma of Financial Planning - Kaplan Professional Education ~ Self-Managed Superannuation Funds - Kaplan Professional Education |
| Anthony Dhillon | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Diploma of Financial Planning - Mentor Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Barry Zeldenryk | 2004 | Advanced Diploma of Financial Planning - Deakin University ~ Bachelor of International Finance - Griffith University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Certified Financial Planner (CFP®) - Financial Planning Association of Australia (FPA) |
| Bradley Peter Jackson | 1997 | Bachelor of Commerce/Laws - University of Tasmania ~ Graduate Diploma of Financial Planning - Securities Institute of Australia |
| Brendan William John Smith | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Finance - La Trobe University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Diploma of Financial Services - Kaplan Professional |
| Christopher Crough | 2007 | ASX Accredited Listed Product Adviser - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| David Jackson | 2000 | Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Diploma of Financial Planning - Tribeca Learning ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| David Pitt | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce - Deakin University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |
| Gavin Colosimo | 2012 | ASX Accredited Listed Products Adviser - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce (Finance) - Deakin University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Self Managed Superannuation Funds - Kaplan Professional |
| Graeme Lawrence Quinlan | 2000 | ASX Accredited Listed Products Adviser - Kaplan Professional ~ Advanced Diploma of Financial Services - AMP Financial Services ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Fund - Tribeca Learning |
| Hei Man Ngai | 2010 | Bachelor of Communications (Media) - RMIT University ~ Master of Business (Banking & Finance) - Monash University |
| James Grixti | 0 | Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| James Wrigley | 2012 | Bachelor of Commerce - University of Melbourne ~ Certificate IV in Superannuation - ASFA ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Graduate Diploma of Applied Finance (Financial Planning) - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Jason Croft | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business and Commerce - Monash University ~ Diploma of Financial Planning - Mentor Education |
| Joel Michael Gleeson | 2023 | Bachelor of Business (Economics & Finance) (Applied) - RMIT University ~ Graduate Diploma of Financial Planning - Kaplan Higher Education |
| Julian Peter Manning | 0 | Bachelor of Business (Financial Planning) - University of South Australia ~ Business Law / Companies and Partnership Law - University of South Australia ~ SMSF Regulations and Taxation - Kaplan Professional ~ Taxation Law 1 - University of South Australia |
| Matthew Ivan Benic | 2023 | Bachelor of Commerce - Deakin University ~ Ethics & Professionalism in Financial Advice - Kaplan Professional |
| Nathaniel Johnston | 2023 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Nicholas Brian Thomas | 2011 | Bachelor of Commerce (Financial Planning, Finance, Sport Management) - Deakin University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia |
| Nicola Donato | 2023 | Master of Financial Planning - Deakin University |
| Nicole Gullone | 2016 | Bachelor of Accounting / Bachelor of Finance - La Trobe University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia |
| Paul Anthony Cupic | 2018 | Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Specialist SMSF course - Super Concepts & International Centre for Financial Services |
| Roel Burghouwt | 2007 | ASX Accredited Listed Product Adviser - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Self Managed Superannuation Funds - Kaplan Professional |
| Ryan John Sgarioto | 0 | Bachelor of Business (Financial Planning) - RMIT University ~ Commercial Law - RMIT University ~ SMSF Regulations & Taxation - Kaplan Professional ~ Taxation 1 - RMIT University |
| Stefanie Falleti | 2016 | Bachelor of Accounting / Bachelor of Finance - La Trobe University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia |
| Yanyu Zhao | 0 | Economic and Legal Context for Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Taxation for Financial Planning - Kaplan Professional |