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;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
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 |
|---|---|---|
| Adam Moremon | 2001 | 2002 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2005 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2010 - RG146 Provide advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Aishwarya Milind Joshi | 2024 | 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Andrew Clyde Newcombe | 1998 | 2000 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2003 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Annabelle Wilson | 2018 | 2007 - Bachelor of Laws - Bachelor Degree (AQF 7) - La Trobe University ~ 2018 - Diploma Financial Planning FNS50615 - Diploma (AQF 5) - Kaplan Australia ~ 2018 - RG146 Tier 1 Margin Lending - Diploma (AQF 5) - Kaplan Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Anthony Joseph Brosnan | 1983 | 1991 - CFP Certified Financial Planner - - Financial Planning Association of Australia ~ 1991 - CFP – Certified Financial Planner - - Financial Planning Association of Australia ~ 1996 - Diploma Financial Planning - Diploma (AQF 5) - Royal Melbourne Institute of Technology (RMIT) ~ 2000 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Arnaud Ravel | 2003 | 2004 - Advanced Diploma Financial Services (Financial Planning) FNB60402 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2009 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Aziz Meherali | 1997 | 1991 - Bachelor of Science in Business - Bachelor Degree (AQF 7) - Indiana University ~ 1999 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 1999 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2021 - Economic and Legal Context for Financial Planning - Other - Kaplan Professional |
| Bernard Schortinghuis | 1996 | 1993 - Bachelor of Business (Financial Management and Economics) - Bachelor Degree (AQF 7) - Curtin University ~ 2000 - Certified Financial Planner - Professional Designations - FAAA ~ 2000 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia Limited ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Bradley Denniston Rummer | 2016 | 2009 - Master of Financial Planning - Masters Degree (AQF 9) - Curtin University ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Craig Milroy | 1999 | 1995 - Post Graduate - Chartered Accountant - Professional Designations - Institute of Chartered Accountants Australia ~ 2001 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2006 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| David Guy | 1999 | 2003 - Certified Financial Planner (CFP) - - Financial Planning Association (FPA) ~ 2005 - Certificate in Applied Self-Managed Super Fund Advice - - Australia Executor Trustees ~ 2010 - DPML Margin Lending - - Pinnacle ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| David James Rule | 2012 | 2007 - Bachelor of Applied Economics and Business Administration - Bachelor Degree (AQF 7) - University of Canberra ~ 2010 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - MLC ThreeSixty ~ 2011 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2012 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2014 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) |
| David Just | 1999 | 2006 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2012 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| David Victor Benney | 1990 | 1993 - Bachelor Economics - Bachelor Degree (AQF 7) - University of Western Australia ~ 1995 - Graduate Diploma Applied Finance & Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2003 - Diploma Financial Services (Financial Planning) FNB50402 - Diploma (AQF 5) - MLC ThreeSixty ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2016 - Advanced Diploma Financial Planning FNS60410 - Advanced Diploma (AQF 6) - Kaplan Australia |
| Donelle Anne Parkin | 2006 | 2008 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - AAMC Training Group ~ 2016 - Advanced Diploma Financial Services (Financial Planning) FNS60415 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Evan Cormack | 2018 | 2016 - Diploma Financial Planning FNS50615 - Diploma (AQF 5) - Kaplan Australia ~ 2018 - Advanced Diploma Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Australia |
| Harry Mantzouratos | 2000 | 1988 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Sydney ~ 1997 - Graduate Diploma in Applied Finance & Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2015 - Certified Financial Planner Status (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2016 - SMSF Specialist Adviser - Professional Designations - SMSF Association ~ 2017 - TASA and the TPB Code of Professional Conduct - Diploma (AQF 5) - Kaplan Australia |
| Heather Patricia Logue | 2008 | 2010 - Diploma of Financial Planning FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2010 - RG146 Margin Lending & Geared Investments - Diploma (AQF 5) - Kaplan Australia ~ 2012 - Diploma of Financial Services (Finance & Mortgage Broking) - Diploma (AQF 5) - Intellitrain ~ 2013 - Self Managed Superannuation Funds - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jane Maree Tanner | 2002 | 2003 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - ThreeSixty ~ 2004 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - ThreeSixty |
| Jeffrey Darren Mclachlan | 1994 | 1982 - Bachelor of Business - Bachelor Degree (AQF 7) - Ballarat College of Advanced Education ~ 1995 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2011 - RG146 Provide advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| John Kritsimas | 2008 | 2007 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| John Nantes | 2001 | 2001 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2014 - RG146 928S Margin Lending (928SML) - Diploma (AQF 5) - Kaplan Australia |
| Joshua Luke Pope | 2006 | 2006 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2008 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Mentor Education Group ~ 2012 - RG146 Provide advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Julia Schortinghuis | 2008 | 1994 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Murdoch University ~ 2008 - Diploma Financial Services (Financial Planning) (GK & FP) - Diploma (AQF 5) - AAMC Training Group ~ 2016 - Certified Financial Planner - CFP Certification Program - Professional Designations - Financial Planning Association (FPA) ~ 2019 - Ethics and Professionalism in Financial Advice - Professional Designations - Kaplan Australia |
| Kasey Pass | 2008 | 2008 - Bachelor of Commerce (Economics & Financial Planning) - Bachelor Degree (AQF 7) - Curtin University ~ 2010 - RG146 Gap Assessment - Derivatives - Diploma (AQF 5) - MLC ThreeSixty ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2013 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) |
| Katherine Alice O'sullivan | 2016 | 2012 - Bachelor of Business in Financial Planning - - Open Universities ~ 2015 - CFP Certified Financial Planner - - FPA |
| Kerry Said | 2024 | 2021 - FPC001B Economic and Legal Context for Financial Planning - Certificate (AQF 1-4) - Kaplan ~ 2021 - FPC006 Tax and Commercial Law for Financial Planning - Certificate (AQF 1-4) - Kaplan ~ 2021 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2023 - SMSF Specialist Advisor (SSA) - Professional Designations - SMSF Association |
| Kevin John Pass | 1993 | 2000 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Luke Anthony Patricks | 2008 | 2000 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Queensland ~ 2000 - Bachelor of Laws - Bachelor Degree (AQF 7) - University of Queensland ~ 2008 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Australia ~ 2010 - Advanced Diploma of Financial Planning FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia |
| Marc Chandler | 1994 | 2003 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2003 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2016 - Graduate Certificate in Applied Finance - Graduate Certificate (AQF 8) - Kaplan Australia |
| Matthew Wilson | 2003 | 2003 - Diploma Financial Services (Financial Planning) FNB50802 - Diploma (AQF 5) - MLC ThreeSixty ~ 2004 - Advanced Diploma Financial Services (Financial Planning) FNB60402 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2007 - Master of Financial Planning - Masters Degree (AQF 9) - University of Sunshine Coast ~ 2014 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Michael John Kerslake | 2006 | 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Finsia ~ 2009 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Michael William Ryding | 2000 | 2000 - Practice KNowledge Exam (PKE) - Diploma (AQF 5) - Financial Planning Association (FPA) ~ 2000 - RG146 DFP 8 - Diploma (AQF 5) - Financial Planning Association (FPA) ~ 2002 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - Kaplan Australia |
| Michelle Irene Taylor | 2001 | 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca Learning ~ 2011 - Adavanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds Course - Other - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - Accredited Listed Product Adviser Program - Professional Designations - Kaplan Professional |
| Mitchell James Fritz | 2015 | 2013 - Bachelor of Commerce (Finance and Business Law) - Bachelor Degree (AQF 7) - Murdoch University ~ 2015 - Managed Investments - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education Group ~ 2018 - Margin Lending Adviser (Personal Advice) - Diploma (AQF 5) - Mentor Education Group ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Naomi Francesca Mee-martino | 2007 | 2002 - Bachelor of Arts (Economics) - Bachelor Degree (AQF 7) - University College Dublin ~ 2009 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2010 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2017 - RG146 Margin Lending - Diploma (AQF 5) - Kaplan Australia |
| Neil Bruce Mclennan | 1997 | 1987 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - Queensland Institute of Technology ~ 1996 - Graduate Diploma in Advanced Accounting - Graduate Diploma (AQF 8) - Queensland University of Technology ~ 1997 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 1998 - Graduate Diploma in Advanced Accounting - Graduate Diploma (AQF 8) - Queensland University Technology ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Nourah Zezulka | 2018 | 2014 - Bachelor of Commerce (Applied Economics) - Bachelor Degree (AQF 7) - University of Canberra ~ 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Canberra ~ 2018 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) |
| Patrik Vachan | 2010 | 2007 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Mentor Education Group ~ 2012 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2015 - Advanced Diploma Financial Planning FNS60410 - Advanced Diploma (AQF 6) - Mentor Education Group |
| Paul Damien Trosti | 2009 | 2004 - Diploma of Financial Planning FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2008 - Advanced Diploma of Financial Planning FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2016 - Master of Commerce (Financial Planning) - Masters Degree (AQF 9) - Western Sydney University ~ 2017 - Certified Financial Planner(CFP) - Other - Financial Planning Association |
| Pawan Luthra | 1986 | 2008 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2012 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) |
| Peter Mccormack | 1989 | 1997 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2000 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Ryan Thomas Purves | 2012 | 2011 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan Australia ~ 2011 - RG146 Derivatives - Diploma (AQF 5) - MLC ThreeSixty ~ 2012 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Sebastian Pfab | 2018 | 2018 - Diploma Financial Planning FNS50615 - Diploma (AQF 5) - Mentor Education Group ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2024 - SMSF Specialist Advisor (SSA) - Professional Designations - SMSF Association |
| Tony Bingham | 2007 | 2007 - Diploma Financial Services (Financial Planning) FNB50804 - Diploma (AQF 5) - MLC ThreeSixty ~ 2008 - Advanced Diploma Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2011 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Travis Edwards | 2008 | 1993 - Bachelor of Science - Bachelor Degree (AQF 7) - Murdoch University ~ 2011 - Advanced Diploma of Financial Planning FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2016 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2016 - RG146 ICFS specialist Self Managed Superannuation Funds - Diploma (AQF 5) - University of Adelaide ~ 2016 - SMSF Specialist Adviser (SSA) - Professional Designations - SMSF Association |
| Trevor Bransdon | 2008 | 2008 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2009 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - MLC ThreeSixty ~ 2010 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |