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;
general insurance 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;
general insurance 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 |
---|---|---|
Alexander Aracas | 2000 | Bachelor of Commerce - Monash University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Masters of Applied Finance - Macquarie University |
Cheryl Ann Haines | 2000 | Bachelor of Business (Accountancy) - Queensland University of Technology ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA (Deakin University) ~ Diploma of Superannuation Management - ASFA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
Christopher Garlick | 2014 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Business (Accounting) - Monash University ~ Bachelor of Business (Banking & Finance) - Monash University ~ Diploma of Financial Planning - Monarch Institute |
Darryn Thomas Studdert | 2006 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Ethics + Professionalism in Financial Advice - Kaplan ~ Master of Financial Planning - University of Sunshine Coast |
Ela Maria Maganic | 2006 | Bachelor of Business (Accounting & Finance) - University of Technology Sydney ~ Certified Financial Adviser - FPA ~ Diploma of Financial Planning - Kaplan ~ Ethics + Professionalism in Financial Advice - Kaplan |
Emerson David Scott | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Mentor/RG146 Education ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Financial Planning - University of the Free State, South Africa (Australian assessed) |
Glenn Williams | 2017 | Bachelor of Commerce - Deakin University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Diploma of Financial Planning - Kaplan ~ Ethics + Professionalism in Financial Advice - Kaplan ~ Masters of Applied Finance - Kaplan Professional |
James Michael Stewart | 2013 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business - Swinburne University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Masters of Applied Finance - Macquarie Unversity |
Jeffrey Watkins | 2008 | Certified Financial Planner (CFP) - Deakin University ~ Diploma of Financial Planning - FPA ~ Ethics + Professionalism in Financial Advice - kaplan ~ Graduate Diploma in Financial Planning - Kaplan ~ Master of Applied Finance - Kaplan |
John Martin Gallagher | 2023 | Bachelor of Economics - Adelaide University ~ Graduate Diploma of Financial Planning - University of South Australia ~ Masters of Applied Finance - Melbourne University |
Josephine Tannous | 2005 | Bachelor of Economics - University of Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Financial Planning - Finsia |
Lachlan James Sparks | 2018 | Bachelor of Business (Economics, Banking and Finance) - Monash University ~ Diploma of Financial Planning - Kaplan ~ Ethics + Professionalism - Kaplan |
Mark Bastiaans | 2003 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Bachelor of Business (Banking and Finance) - University of South Australia ~ Certified Financial Planner - FPA ~ Ethics + Professionalism in Financial Advice - Kaplan ~ Master of Research (Finance) - University of South Australia |
Martin Gee | 1995 | Diploma of Financial Services (Financial Planning) - Kaplan ~ Graduate Diploma of Finance - Charles Sturt University ~ Master of Applied Finance - Charles Sturt University |
Nandita Mathur | 2006 | Advanced Diploma in Financial Planning - Pinnacle Financial Services Academy ~ BCom (Hons) - Delhi University, Indraprastha College ~ Certified Financial Planner (CFP) - Financial Planning Association ~ Diploma in Financial Planning - Pinnacle Financial Planning Academy ~ Ethics + Professionalism in Financial Advice - Kaplan |
Nareena Aracas | 2007 | Advianced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Markets - FINSIA ~ Ethics + Professionalism in Financial Advice - Kaplan ~ Masters of Applied Finance - Macquarie University |
Neil James Speirs | 2012 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Finanical Planning - Kaplan Professional |
Nicholas Phillips | 1999 | Bachelor of Business (Financial Planning) - RMIT University ~ CFP Professional - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice bridging subject - Kaplan |
Patrick Macnamara | 2009 | Certificate of Self-Managed Super (SMSF) - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Diploma of Superannuation Management - ASFA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Peter Richard Trusler | 0 | Bachelor of Commerce (Finance) - Deakin University ~ Bachelor of Commerce (Financial Planning) - Deakin University ~ Certificate IV in Finance & Mortgage Broking - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
Richard Purchase | 2005 | ADFS (Financial Planning) - Tribeca ~ CFP - FPA ~ MBA (Financial Planning) - University Southern Queensland |
Rita Lamack | 2008 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Arts - University of Newcastle ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kapla Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
Scott Nanfro | 2017 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business - Swinburne University of Technology ~ Bachelor of Engineering (Mechanical Engineering) - Swinburne University of Technology ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Simone Genevieve D'souza | 2024 | Bachelor of Commerce (Human Resource Management) - The University of Notre Dame Australia ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Toby Perkins | 2012 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce (Corporate Finance) - University of Adelaide ~ Certified Financial Planner Program - FPA ~ Ethics + Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Global Wealth Management - University of Adelaide |
Trudy-anne Jenkins | 1998 | Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Certified Financial Planner - FPA ~ Certified Financial Planner - FPA ~ Ethics + Professionalism in Financial Advice - Kaplan ~ Graduate Diploma Financial Planning - Securities Institute of Australia ~ Graduate Diploma in Financial Planning - Securities Institute ~ SMSF - Cavendish Super P/L & International Centre for Financial Services ~ SMSF - Cavendish Super P/L & International Centre for Financial Services |
Vincenzo Bruno Zappia | 2003 | Certificate III in Investment and Personal Financial Planning - ITC ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma of Financial Planning - FPA ~ Ethics + Professionalism in Financial Advice - Kaplan ~ Master of Commerce (Financial Planning) - University of Western Sydney |
Vishal Gupta | 2010 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology ~ Bachelor of Commerce - Allahabad University ~ Certified Financial Planner (CFP) - FPA ~ Diploma of Financial Services - International Institute of Technology ~ Ethics + Professionalism in Financial Advice - Kaplan |