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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
|---|---|---|
| Amanda Leah Golder | 2017 | Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Accounting (Financial Planning) - Charles Sturt University ~ Diploma of Financial Planning - Kaplan pROFESSIONAL ~ Financial Planning - Kaplan |
| Amanda Mellor | 2007 | Advanced Diploma - Financial Planning - Mentor Education ~ Diploma - Financial Planning - ThreeSixty ~ Graduate Certificate of Financial Planning - Kaplan |
| Andrew Gordon Mckimmie | 2014 | Advanced Diploma of Financial Planning FNS60410 - Kaplan Professional Education ~ Diploma of Financial Services (Financial Planning) FNS50804 - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ SMSF Specialist Adviser (SSA) - SMSF Association |
| Angela Aspinall | 2018 | Advanced Diploma of Financial Services FNS60404 - Tribeca ~ Ethics & Professionalism In Financial Advice - Kaplan ~ Graduate Certificate in Financial Planning - Griffith University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Ashlee Kate Kenyeres | 2016 | Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan |
| Belinda Louise Tink | 2005 | Accredited Aged Care Professional - Aged Care Steps ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Kaplan Higher Education Pty Ltd ~ Master of Financial Planning - Kaplan Higher Education Pty Ltd ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| Ben William Carlos Cole | 2023 | Bachelor of Business (Accounting) - James Cook University ~ Graduate Diploma of Financial Planning - Kaplan |
| Bradley Owen Gordon | 2005 | Diploma of Accounting - Orion Training and Performance Management ~ Diploma of Business - Orion Training and Performance Management ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending Accreditation Program - Deacon Prime Corporate Education |
| Bret Christopher Ambrose | 1998 | Bachelor of Business (Accounting) - Queensland University of Technology ~ Certified Financial Planner - Deakin University ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Graduate Diploma In Applied Finance & Investment - Securities Institute Education |
| Bridget Mary Carroll | 2022 | Graduate Diploma of Financial Planning - Kaplan |
| Christopher John Bailey | 2018 | Bachelor of Commerce - Swinburne University of Technology ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Daniel James Maher | 2003 | Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Margin Lending & Geared Investments - Kaplan Professional ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| Daniel Richard Underwood | 2014 | Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Kaplan Professional Education ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| David Edward Kretschmer | 1999 | Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Margin Lending & Geared Investments - Kaplan Professional |
| Dominique Louise Schuh | 2010 | Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Kaplan Professional Education ~ Bachelor of Business Management - The University of Queensland ~ Chartered Life Practitioner - Asia Pacific Financial Services Association ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| Elizabeth Lee White | 2016 | Bachelor of Commerce - JCU ~ CA SMSF Specialist Accreditation Course - UNSW ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Chartered Accounting - The Institute of Chartered Accountants in Australia ~ SMSF Specialist Member Accreditation Program - SMSF Association |
| Gary Spencer | 1998 | Bachelor of Commerce - Murdoch University ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ Margin Lending - Financial Essentials |
| Georgia Eade | 2024 | Bachelor of Accounting (Financial Planning) - Central Queensland University |
| Glenn Michael Hawley | 2015 | Associate Diploma of Business (Accounting) - Department of Employment, Industrial Relations and Training ~ Diploma of Business Management BSB50401 - Institute of TAFE Tasmania ~ Fellow of the Institute of Public Accountants - Institute of Public Accountants ~ Graduate Certificate in Financial Services - University of New England ~ Graduate Diploma in Financial Planning - University of New England |
| Glenn Steven Hilber | 2008 | Bachelor of Commerce Financial Planning - Griffith University ~ Certified Financial Planner - FPA ~ DPML Margin Lending - Pinnacle Financial Services Academy |
| Halina Louise Roach | 2004 | Bachelor of Business (Banking and Finance) - Monash University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Securities Institute |
| James Wauch | 2006 | Bachelor of Business (Agricultural Commerce) - University of Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Masters of Applied Finance (Financial Planning) - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Jason Delisser | 2009 | Bachelor of Commerce - The University of Queensland ~ Bachelor of Laws - The University of Queensland ~ Graduate Diploma in Applied Finance and Investment - Securities Institute Education ~ Graduate Diploma of Financial Planning - Finsia ~ Master of Business Administration - The University of Queensland |
| Jason Robert Fowler | 1995 | Bachelor of Business - Queensland University of Technology ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Margin Lending & Geared Investments - Kaplan Professional ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| John Matthew Duncan | 2004 | Bachelor of Business (Banking and Finance) - Queensland University of Technology ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Margin Lending & Geared Investments - Kaplan Professional |
| Jon Belkner | 1996 | Adv Dip FS (FP) - Tribeca ~ Dip FS (FMMB) - TAFE ~ Dip Fs (FP) - Tribeca ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Taxation Planning - FPA |
| Karen Anne Mason | 2008 | Advanced Diploma of Financial Services FNS60404 - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) (FNS50804) - Kaplan Education Pty Ltd ~ Margin Lending & Geared Investments - Kaplan Professional |
| Kevin Redfearn | 2001 | Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ RG146 Margin Lending - MLC ThreeSixty |
| Mark A Hoy | 2004 | Accredited Aged Care Professional - Aged Care Steps ~ Advanced Diploma of Financial Planning FNS60410 - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Martin Cossettini | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma in Financial Markets - Securities Institute ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Matthew James Stevens | 2000 | Bachelor of Commerce - James Cook University ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Margin Lending & Geared Investments - Kaplan Professional |
| Michael Brian Snape | 1999 | Diploma of Financial Markets - Securities Institute ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ Graduate Diploma of Financial Planning - Securities Institute |
| Michael John Sheekey | 1995 | Bachelor of Business - University of Technology Sydney ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Applied Finance - Macquarie University |
| Nicholas John Barrett | 2015 | Advanced Diploma of Financial Planning FNS60410 - Kaplan Professional Education ~ Bachelor of Business - Australian Catholic University ~ Diploma of Financial Planning FNS50611 - Kaplan Professional Education ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ TASACLv1 Commercial Law - Kaplan Professional |
| Nicholas Ross Cunningham | 2016 | Bachelor of Business (Management) - Central Queensland University ~ Diploma of Financial Planning - Kaplan |
| Nicole Helen Gardner | 2022 | Bachelor of Business (Financial Planning) - Royal Melbourne Institute of Technology ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Noel Douglas Lang | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business Administration - University of Southern Queensland (USQ) |
| Paul Andrew Fowler | 2002 | Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Tribeca ~ Certified Financial Planner - FPA ~ Diploma of Financial Services (Financial Planning) FNS50804 - Tribeca ~ Life Risk Specialist - FPA ~ Margin Lending & Geared Investments - Kaplan Professional |
| Paul Jeffrey Briant | 2008 | Advanced Diploma of Financial Services (Financial Planning) - MLC ~ Bachelor of Business - Swinburne University of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Paul Joseph Ratcliffe | 2002 | Certified Financial Planner - FPA ~ Certified Practising Accountant - CPA ~ Diploma of Financial Planning - FPA ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Paul Robert Boothman | 1996 | Bachelor of Commerce - Griffith University ~ Certified Financial Planner - FPA ~ Ethics and Professionalism - University of South Australia ~ Graduate Diploma in Applied Finance and Investment - Securities Institute ~ Master of Financial Planning - Kaplan Professional |
| Paul Steven Horn | 1995 | Bachelor of Commerce - James Cook University of North Queensland ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Margin Lending & Geared Investments - Kaplan Professional ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| Peter Blematl | 1992 | AEPS Accredited Estate Planning Strategist - FPA ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Graduate Diploma of Financial Planning - Kaplan ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| Peter John Mancell | 1981 | Bachelor of Science - The University of Sydney ~ Certified Financial Planner - FPA ~ Diploma in Life Insurance - Australian Lifewriters Association ~ Diploma of Financial Planning - FPA ~ Graduate Diploma of Financial Planning - Kaplan |
| Scott Duncan Keefer | 2011 | Bachelor of Commerce - The University of Queensland ~ Graduate Certificate in Financial Planning - University of the Sunshine Coast ~ Margin Lending & Geared Investments - Kaplan Professional ~ Master of Financial Planning - University of the Sunshine Coast |
| Scott Mark Westerweller | 0 | Bachelor of Commerce - Deakin University |
| Simon Andrew Shepherd | 2009 | Bachelor of Business (Finance & Accounting) - University of Technology ~ Diploma in Financial Planning - Kaplan Professional |
| Simon Benson | 2000 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Simone Murray | 2011 | ASX Listed Products Accreditation Course - LPAC Online ~ Bachelor of Business (Accounting) - University of Ballart ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education |
| Teisha Butt | 2018 | Bachelor of Business (Finance / Financial Planning) - Charles Sturt University ~ RG146 - Charles Sturt University |
| Thabojan Rasiah | 2006 | Bachelor of Commerce (Honours) - Monash University ~ Bachelor of Science - Monash University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ DPML Margin Lending - Pinnacle Financial Services Academy ~ Graduate Diploma of Financial Planning - FINSIA |
| Timothy Graham Sykes | 2009 | Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) FNS50804 - Kaplan Education Pty Limited ~ Margin Lending & Geared Investments - Kaplan Professional |
| Tristan Barry Dallas | 2009 | Accredited Aged Care Professional - Aged Care Steps ~ Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Kaplan Education Pty Limited ~ Bachelor of Commerce - University of Tasmania ~ Diploma of Financial Services (Financial Planning) FNS50804 - Kaplan Education Pty Limited ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Tudor Cosma | 2007 | Bachelor of Business (Financial Planning) - RMIT University ~ Certificate III in Business (Legal Administration) - Bedford Business College ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Diploma of Business - Bedford Business College ~ Diploma of Financial Planning - Mentor Education |
| Wade Ritchie | 2002 | Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning - Deakin University ~ Life Risk Specialist - Financial Planning Association of Australia (FPA) ~ Margin Lending Course - Pinnacle Financial Services Academy ~ Master of Personal Financial Planning - University of Southern Queensland |