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 Raymond Ordelman | 2000 | Accredited Aged Care Professional - Aged Care Steps ~ Associate Diploma of Accounting - TAFE SA ~ Diploma of Financial Advising - Securities Institute ~ Diploma of Financial Markets - Securities Institute ~ Specialist SMSF Adviser - Terra Cordis Pty Ltd |
| Alisa Maria Honeyman | 1998 | Certified Financial Planner - Financial Planning Association of Australia ~ Degree of Bachelor of Commerce in Management Sciences - University of Canberra ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Alisha Bonomi | 2010 | Bachelor of Commerce (Accounting and Financial Planning) - Curtin University of Technology |
| Andrew Martin Outridge | 2003 | Associate Diploma of Business (Accounting) - TAFE NSW ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Andrew Raymond Crews | 2000 | Bachelor of Commerce (Accounting) - University of Western Sydney Hawkesbury ~ Certified Financial Planner - Financial Panning Association of Australia ~ Chartered Accountant - Institute of Chartered Accountants ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Anuja Gupta | 2018 | Bachelor of Business Information System - Kathmandu University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business Administration (Advanced) (Finance) - Flinders University ~ Master of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Ashlee Pam Scougall | 2018 | Bachelor of Business - Griffith University ~ Cavendish & ICFS Specialist SMSF Course - University of Adelaide ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |
| Barton Ross White | 2015 | Bachelor of Business (Financial Planning) - Royal Melbourne Institute of Technology ~ Self Managed Superannuation Funds - Kaplan Professional |
| Bobbe-lee Duncombe | 2004 | Bachelor of Business (Banking & Finance) - Queensland University of Technology (QUT) ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan Professional ~ Master of Professional Accounting - University of Southern Queensland ~ Superconcepts & ICFS Specialist SMSF Online Course - SuperConcepts |
| Bradley Cole | 2002 | Bachelor of Business (Banking and Finance) - Queensland University of Technology ~ Diploma of Financial Planning - FPA ~ Margin Lending and Geared Investments - Kaplan Professional ~ SuperConcepts & ICFS Specialist SMSF - University of Adelaide |
| Brett Andrew Gilday | 2002 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Certificate IV - Financial Services (Fiance/Mortgage) - AAMC Training Group ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Principals in Self Managed Superannuation Funds - International Institute of Technology |
| Carl Jan Molenaar | 2003 | Advanced Diploma of Financial Services - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |
| Carrissa Alexis Mari | 2005 | Bachelor of Business (Major in Financial Planning) - University of Technology, Sydney ~ Margin Lending and Geared Investments - Kaplan Professional ~ SuperConcepts & ICFS Specialist SMSF Course - SuperConcepts |
| Christopher Giaouris | 2012 | Bachelor of Commerce (Major in Finance, Financial Planning and Marketing) - Deakin University ~ Certified Financial Planner - Financial Planning Assocation ~ Margin Lending - Pinnacle Financial Services Academy ~ Self Managed Superannuation Funds - Kaplan Professional |
| Conlie Sid Salvemini | 1998 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Double Major in Finance & Marketing) - Edith Cowan University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Daniel Boyd Stokes | 2018 | Bachelor of Business and Commerce (Accounting) - Western Sydney University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and professionalism in Financial Advice - Kaplan Professional |
| David Cuff | 2011 | Bachelor of Commerce Accounting - Macquarie University ~ Cavendish & ICFS Specialist SMSF Course - Cavendish ~ Certified Financial Planner - Financial Planning Association of Australia (FPA) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance (Major in Financial Planning) - Kaplan Professional |
| David John Jackson | 1994 | Diploma of Financial Planning - Deakin University ~ SMSF Specialist Accreditation Program - SMSF Association ~ Tier 1 Margin Lending Personal Advice - Kaplan Professional |
| David Marasea | 2005 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Deakin University ~ Margin Lending - Pinnacle Financial Services Academy ~ Master of Financial Planning - Royal Melbourne Institute of Technology ~ Self Managed Superannuation Funds - Kaplan Professional |
| David Ryan Counsel | 2013 | Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Bachelor of Commerce - The University of Western Australia ~ Bachelor of Economics - The University of Western Australia ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Denis O'callaghan | 2000 | Bachelor of Business - Ballarat College of Advanced Education ~ Diploma of Financial Planning - Deakin University ~ Self Managed Superannuation Funds - Kaplan Professional |
| Garry William Symonds | 2017 | 928 Margin Lending - Knowledge and Skills - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professonal ~ Master of Business Administration - Edith Cowan University |
| George Sabini | 2000 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor of Business (Banking and Finance) - Victoria University of Technology ~ CFP Education Program - Financial Planning Association ~ Diploma of Financial Planning - Deakin University |
| Gino Lorenzo Saggiomo | 1999 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services - Tribeca ~ Margin Lending and Geared Investments - Kaplan Professional ~ SMSF Specialist Accreditation Program - SMSF Association |
| Glen Philip Sumner | 2008 | Bachelor of Business (Financial Planning) - RMIT ~ Diploma of Financial Planning - FPA ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Glen Robert Reilly | 1997 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University ~ Self Managed Superannuation Funds - Kaplan Professional |
| Graham Fletcher | 2005 | Advanced Diploma of Financial Services - Tribeca ~ Certified Financial Planner - FPA ~ Diploma of Financial Services - Tribeca ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self-Managed Superannuation Funds - Kaplan Professional |
| Gregory Peter Diamond | 2006 | Bachelor of Business (Business Management / Information Systems) - Charles Sturt University ~ CPA Program Professional Level - CPA Australia ~ Diploma of Financial Services (Financial Planning) - CPA Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Accountancy - Charles Sturt University |
| Helen Russo | 1997 | Accredited Aged Care Professional - Aged Care Steps ~ Cavendish & ICFS Specialist SMSF Course - The University of Adelaide ~ Diploma Financial Planning - Deakin Universty ~ Margin Lending - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| James Morrell Hand | 1994 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| James Paul Zhe Xiang Liew | 2018 | Bachelor of Commerce - University of Western Australia ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ TFAv1 Tax for Financial Advising - Kaplan Professional |
| John Steven Rees | 1999 | Bachelor of Business (Accounting) - La Trobe University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Chartered Accountant Program - The Institute of Chartered Accountants of Australia ~ Margin Lending and Geared Investments - Kaplan Professional ~ SMSF Specialist Adviser - SMSF Association |
| Jovan John Potkonjak | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Certificate IV in Finance and Mortgage Broking - International Institute of Technology ~ Diploma of Financial Planning - International Institute of Technology |
| Leonard Gennusa | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Engineering (Mechancial Engineering) - The University of NSW ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan Professional ~ Specialist SMSF Adviser Training Course - SMSF Training |
| Marcel Parrett | 1992 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma in Farm Management - Marcus Oldham Farm Management College ~ Diploma of Financial Planning - Deakin University |
| Matthew Robert Alphonso Nicholson | 1998 | Bachelor of Economics - James Cook University ~ Graduate Diploma in Financial Planning - Securities Institute ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Mentor Education Group |
| Matthew Stuart Sladden | 0 | Bachelor of Commerce - Curtin University of Technology ~ Bachelor of Economics - The University of Western Australia ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
| Michael Gregory Crompton | 2008 | Bachelor of Commerce - Macquarie University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - FINSIA ~ Self-Managed Superanuation Funds - Kaplan Professional |
| Michelle Anne Steffensen | 2000 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University ~ Self-Managed Superannuation Funds - Kaplan Professional |
| Paul Andrew Mellare | 1999 | Bachelor of Econimics - The University of New England ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Superconcepts & ICFS Specialist SMSF Course - SuperConcepts |
| Rachel Knaus | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Approved Bridging Courses - Ethics, Behavioural Finance, Regulatory Compliance - Kaplan Higher Education ~ Bachelor of Psychology with Honours - University of Newcastle ~ Certified Financial Planner Education Program - FPA Australia ~ Self Managed Superannuation Funds - Kaplan Professional |
| Rocco Anthony Costa | 2016 | Bachelor of Commerce (Accounting and Financial Planning) - Griffith University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Self Managed Superannuation Funds - Kaplan Professional |
| Ross Alwynd Vanderwolf | 1981 | Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ SMSF Specialist Accreditation Program - SMSF Association |
| Ross Peter Curulli | 1998 | Bachelor of Business Studies - Charles Sturt University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Scott Peter Saunders | 2017 | Advanced Diploma of Business (Accounting) - Gordon Institute of TAFE ~ Bachelor of Commerce (Accounting, Finance & Financial Planning) - Deakin University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Shane Andrew Kennealy | 2018 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor of Commerce - University of South Australia ~ Cavendish & ICFS Specialist SMSF Course - The University of Adelaide ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Sharon Michelle Greber | 2003 | Bachelor of Commerce - Murdoch University ~ Diploma of Financial Planning - Deakin University ~ Self Managed Superannuation Funds - Kaplan Professional |
| Simeon Levin | 2001 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Life Risk Specialist - Financial Planning Association of Australia ~ Self Managed Superannuation Funds - Kaplan Professional |
| Warrick Michael Hanley | 1999 | 928 Margin Lending - Knowledge and Skills - Kaplan Professional ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Life Risk Specialist - Financial Planning Association of Australia ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| Warwick Thomas Bird | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Kaplan Professional ~ Margin Lending - Personal Advice - Kaplan Professional ~ Master of Applied Finance - Kaplan Professional |
| William David Howard | 2010 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Finance - The University of Newcastle ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Ethics and Professionalism in Financial Advice (FPC002B) - Kaplan Professonal ~ Self Managed Superannuation Funds - Kaplan Professional |