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;
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;
interests in managed investment schemes limited to:
MDA 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;
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Anthony Simpson | 2009 | 1999 - Diploma of Financial Markets - Diploma (AQF 5) - Finsia ~ 2003 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - ThreeSixty ~ 2008 - Self Managed Superannuation Funds - Other - The Association of Superannuation Funds of Australia Limited ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Bruce Killingly | 1989 | 2002 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2014 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2014 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Cody Don Mackay | 2016 | 2015 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2016 - Derivatives Adviser (Personal Advice) - Other - Mentor Education ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group ~ 2016 - Diploma of Financial Services - Diploma (AQF 5) - Integrity Education Group ~ 2017 - Self Managed Superannuation Fund Adviser - Other - Mentor Education ~ 2018 - Accredited Listed Product Adviser - Other - Kaplan Education ~ 2020 - Ethics for Financial Services - Bridging Course - Regulation & Legal Obligations - Deakin University ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Daniel William Brown | 2013 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2020 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Den Thi DO | 2005 | 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2009 - Master of Financial Planning - Masters Degree (AQF 9) - Royal Melbourne Institute of Technology |
| Grant Loechel | 2003 | 2004 - Master of Financial Planning - Masters Degree (AQF 9) - University of the Sunshine Coast ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2015 - Accredited Listed Product Adviser Program - Other - Kaplan Professional |
| Gregory John Ryan | 1997 | 1995 - Bachelor of Business - Bachelor Degree (AQF 7) - The University of Newcastle ~ 2000 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2015 - Cavendish & ICFS Specialist SMSF Course - Other - The University of Adelaide ~ 2020 - Accredited Listed Product Adviser Program - Other - Kaplan Professional |
| Hari Maragos | 2005 | 2000 - Bachelor of Business - Bachelor Degree (AQF 7) - Victoria University ~ 2004 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - AMP Limited ~ 2014 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| James Fraser Nickols | 2017 | 2005 - Honours Degree of Bachelor of Science (Economics) in Business Economics - Bachelor Honours Degree (AQF 8) - University of Portsmouth ~ 2012 - Master of Insurance & Risk Management - Masters Degree (AQF 9) - Deakin University ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - RG146 Managed Investments & Securities - Other - Mentor Education Group ~ 2020 - TASACLv2 Commercial Law - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2020 - Tax for Financial Advising - Bridging Course - Regulation & Legal Obligations - Kaplan Professional |
| James Scott Melhuish | 2018 | 2012 - Bachelor of Finance (International) - Bachelor Degree (AQF 7) - The University of Adelaide ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2018 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2025 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Victoria University |
| James Sherwood | 2015 | 2013 - Graduate Certificate of Business Administration - Graduate Certificate (AQF 8) - Griffith University ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology ~ 2015 - Master of Business Administration - Masters Degree (AQF 9) - Griffith University ~ 2018 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2019 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2019 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Griffith University |
| Jerry Lin | 2013 | 2005 - Bachelor of Science (Sports Science) - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2016 - Margin Lending - Other - Kaplan Professional ~ 2016 - Self-Managed Superannuation Funds - Other - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| John Sciacca | 2013 | 1991 - Bachelor of Financial Administration - Bachelor Degree (AQF 7) - University of New England ~ 2012 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2013 - Margin Lending - Other - Kaplan Professional ~ 2017 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Krisu Suresh Patel | 2017 | 2016 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - University of South Australia ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2025 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2025 - Tax for Financial Advising - Other - Kaplan Professional |
| Lawrence Dorcas Raymond | 2003 | 1992 - Diploma of Financial Planning - - FPA ~ 1995 - Certified Financial Planner - - FPA ~ 2004 - Self Managed Superannuation Funds Program - - FPA ~ 2021 - FASEA Exam - Other - FASEA |
| Lee Charles Martin | 2004 | 2010 - Advanced Diploma of Financial Services (Financial Planning) - - International Institute of Technology Pty Ltd (IIT) ~ 2010 - Diploma of Financial Services (Financial Planning) - - International Institute of Technology Pty Ltd (IIT) ~ 2016 - Tier 1 Specialist Margin Lending Course - Other - International Institute of Technology Pty Ltd (IIT) |
| Marcus David Eric Nyholm | 2025 | 2000 - Bachelor of Business - Bachelor Degree (AQF 7) - Australian Catholic University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Mark Ceglinski | 2018 | 1988 - Bachelor of Commerce - Bachelor Degree (AQF 7) - UWA ~ 1990 - Chartered Accountant (CA) - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2004 - Masters of Business Administration - Masters Degree (AQF 9) - UWA ~ 2021 - Greduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Matthew Joel Illana | 2007 | 2005 - Bachelor of Banking and International Finance - - The Flinders University of SA ~ 2008 - Graduate Diploma of Financial Planning - - FINSIA |
| Megan Bartlett | 2001 | 1989 - Bachelor of Commerce - Bachelor Honours Degree (AQF 8) - Australian National University ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2011 - Certified Financial Planner - Professional Designations - The Financial Planning Association of Australia ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Introduction to Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2022 - Margin Lending Specialist - Other - Kaplan Professional |
| Michael Raymond Mayoh | 1996 | 2000 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2000 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional |
| Miral Thakker | 2013 | 2008 - Diploma of Financial Services (Financial Planning) - - Mentor Education ~ 2015 - Advanced Diploma FP - Advanced Diploma (AQF 6) - Mentor Education ~ 2019 - Accredited Listed Product Adviser Program - - Kaplan Professional |
| Paul Michael Hughes | 2015 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education AU ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Paul Robert Garner | 2007 | 1996 - Bachelor of Business (Marketing) - - University of South Australia ~ 2000 - Graduate Diploma in Commerce - - University of South Australia ~ 2007 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Perry Jared Wilkey | 2002 | 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - Cavendish & ICFS Specialist SMSF Course - - University of Adelaide ~ 2014 - Diploma of Finance & Mortgage Broking Management - - Kaplan ~ 2017 - Accredited Listed Product Adviser Program - - Kaplan Professional Education ~ 2021 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - ROYAL MELBOURNE INSTITUTE OF TECHNOLOGY |
| Peter John Holland | 2004 | 1991 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Australian National University ~ 1991 - Bachelor of Laws - Bachelor Honours Degree (AQF 8) - Australian National University ~ 1997 - Master of Laws - Masters Degree (AQF 9) - University of Western Australia ~ 1999 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 1999 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2015 - TASA and the TPD Code of Professional Conduct - Other - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Raffi Pailagian | 2003 | 2004 - Advanced Dip FP - Advanced Diploma (AQF 6) - Deakin University ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2014 - Self Managed Superannuation Funds - - Kaplan ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan |
| Scott Hammond | 1998 | 2000 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2002 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2014 - Bachelor of Economics - Bachelor Degree (AQF 7) - Macquarie University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2025 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Scott Middleton | 2003 | 1991 - Bachelor of Arts (Actuarial Studies and Statistics) - - Macquarie University ~ 2003 - Diploma of Financial Planning - - FPA ~ 2003 - Master of Commerce - - University of Western Sydney ~ 2014 - Cavendish & ICFS Specialist SMSF Course - - University of Adelaide |
| William Wedge Henwood | 2005 | 1997 - Bachelor of Commerce - - Curtin University ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - SMSF Specialist Adviser - - SMSFA ~ 2014 - Tax (Financial) Adviser - - Tax Practitioners Board |
| Zareh Deyirmendjian | 2011 | 2011 - Certificate IV in Financial Services (Finance / Mortgage Broking) - Certificate (AQF 1-4) - The National Finance Institute ~ 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Education Pty Ltd ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan Professional |