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 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Markets - Finsia ~ Diploma of Financial Services - ThreeSixty ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Bradley Benes | 2013 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education ~ Graduate Certificate of Applied Finance - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Bruce Killingly | 1989 | Certificate IV in Finance and Mortgage Broking - Kaplan Professional Education ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma in Financial Planning - Securities Institute ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Cameron Scott Mclean | 2003 | Bachelor of Business - Curtin University ~ Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd |
| Cody Don Mackay | 2016 | Bachelor of Commerce - Monash University ~ Diploma of Financial Planning - Integrity Education Group ~ Diploma of Financial Services - Integrity Education Group ~ MAA769 Ethics for Financial Services - Deakin University ~ Master of Financial Planning - Deakin University |
| Daniel William Brown | 2013 | Accredited Listed Product Adviser Program - KAPLAN Professional ~ Advanced Diploma Financial Planning - KAPLAN Professional ~ DFP: Securities and Managed Investments - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - KAPLAN Professional |
| Den Thi DO | 2005 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Master of Financial Planning - Royal Melbourne Institute Of Technology |
| Geraldine Scott | 2004 | Advanced Diploma of Financial Services - Deakin University ~ Diploma of Financial Planning - Deakin University |
| Grant Loechel | 2003 | Certificate IV in Finance and Mortgage Broking - Kaplan ~ Certified Financial Planner - FPA ~ Margin Lending and Geared Investments - Kaplan ~ Master of Financial Planning - University of the Sunshine Coast ~ Self Managed Superannuation Funds - Kaplan |
| Gregory John Ryan | 1997 | Accredited Listed Product Adviser Program - Kaplan ~ Bachelor of Business - University of Newcastle ~ Cavensih & ICFS Specialist SMSF Course - The University of Adelaide ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan Professional |
| Gregory Nunan | 1999 | Certified Financial Planner - FPA ~ Diploma of Financial Planning - Deakin University ~ Life Risk Specialist - FPA ~ SuperConcepts & ICFS Specialist SMSF Course - Super Concepts |
| Hari Maragos | 2005 | Bachelor of Business - Victoria University ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - AMP Limited ~ MAI769 Ethics for Financial Services - Deakin University ~ MLI714 Financial Advice Regulation - Deakin University |
| James Fraser Nickols | 2017 | Diploma Financial Planning FNS50615 - Kaplan Australia ~ Master of Insurance & Risk Management - Deakin University ~ RG146 Managed Investments & Securities - Mentor Education Group |
| James Scott Melhuish | 2018 | Bachelor of finance (international) - University of Adelaide ~ Diploma of financial planning - Monarch institute |
| James Sherwood | 2015 | Accredited Listed Product Adviser Program - KAPLAN Professional ~ Certificate IV in Finance and Mortgage Broking - KAPLAN Professional ~ Diploma of Financial Planning - International Institute of Technology ~ Master of Business Administration - Griffith University ~ Statement of Attainment - SMSF - KAPLAN Professional |
| John Sciacca | 2013 | Bachelor of Financial Administration - University of New England ~ Diploma of Financial Planning - Kaplan Professional |
| Krisu Suresh Patel | 2017 | Bachelor Applied Finance - University of South Australia ~ Diploma of Financial Planning - Monarch Institute |
| Lawrence Dorcas Raymond | 2003 | Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ FASEA Exam - FASEA ~ Self Managed Superannuation Funds Program - FPA |
| Lee Charles Martin | 2004 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Tier 1 Specialist Margin Lending Course - International Institute of Technology Pty Ltd (IIT) |
| Mark Ceglinski | 2018 | Bachelor of Commerce - UWA ~ Chartered Accountant/Fellow - CAANZ ~ Graduate Diploma of Financial Planning - Kaplan ~ Masters of Business Administration - UWA ~ Taxation - ATO |
| Matthew Joel Illana | 2007 | Bachelor of Banking and International Finance - The Flinders University of SA ~ Graduate Diploma of Financial Planning - FINSIA |
| Megan Bartlett | 2001 | Bachelor Degree - BCom - The Australian National University ~ CFP - Certified Financial Planner - The Financial Planning Association of Australia ~ CPA - Specialist in Financial Planning - CPA Australia ~ Diploma - DFP - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Michael Raymond Mayoh | 1996 | Certified Financial Planner Program - FPA ~ Diploma of Financial Planning - FPA & Deakin University ~ Margin Lending & Geared Investments - Kaplan ~ SuperConcepts & ICFS Specialist SMSF Course - The University of Adelaide |
| Michael Scott Frawley | 2002 | Advanced Diploma Financial Markets - FINSEA ~ Advanced Diploma of Financial Planning - FPA ~ Cert IV Mortgage Broking - Kaplan ~ Graduate Certificate Financial Planning - Griffith University ~ SMSF Accreditation - Kaplan |
| Miral Thakker | 2013 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Services (Financial Planning) - Mentor Education |
| Paul Cashman | 2004 | Accredited Listed Product Adviser Program - Kaplan ~ Bachelor of Arts (Actuarial Studies) - Macquarie University ~ Certificate IV in Finance and Mortgage Broking - The National Finance Institute ~ Diploma of Financial Services - Tribeca ~ Self Managed Superannuation Fund - Kaplan |
| Paul Michael Hughes | 2015 | Diploma of Financial Planning - Mentor Education |
| Paul Robert Garner | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business (Marketing) - University of South Australia ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Graduate Diploma in Commerce - University of South Australia |
| Perry Jared Wilkey | 2002 | Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Business (Financial Planning) - ROYAL MELBOURNE INSTITUTE OF TECHNOLOGY ~ Cavendish & ICFS Specialist SMSF Course - University of Adelaide ~ Diploma of Finance & Mortgage Broking Management - Kaplan |
| Peter John Holland | 2004 | Bachelor of Commerce - The Australian National University ~ Cavendish & ICFS Specialist SMSF Course - University of Adelaide ~ Diploma of Financial Planning - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending and Geared Investments - Kaplan |
| Raffi Pailagian | 2003 | Accredited Listed Product Adviser Program - Kaplan ~ Diploma of Financial Planning - FPA ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Scott Hammond | 1998 | Diploma of Financial Planning - FPA ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Inv. - Kaplan ~ Self Managed Super Fund Course - Kaplan |
| Scott Middleton | 2003 | Bachelor of Arts (Actuarial Studies and Statistics) - Macquarie University ~ Cavendish & ICFS Specialist SMSF Course - University of Adelaide ~ Diploma of Financial Planning - FPA ~ Master of Commerce - University of Western Sydney |
| Wayne Nash | 2006 | Certificate of Business Studies - Department of Technical and further education ~ Diploma of Business Studies - Challenger TAFE ~ Diploma of Financial Planning - Kaplan Professional Education |
| William Wedge Henwood | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Commerce - Curtin University ~ Margin Lending and Geared Investments - Kaplan ~ SMSF Specialist Adviser - SMSFA ~ Tax (Financial) Adviser - Tax Practitioners Board |
| Zareh Deyirmendjian | 2011 | Certificate IV in Financial Services (Finance/Mortgage Broking) - The National Finance Institute ~ Diploma of Financial Services - Kaplan ~ Self Managed Superannuation Funds - Kaplan |