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 | 1998 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2001 - Diploma of Financial Planning (8 units) - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2002 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2006 - Masters of Applied Finance - Masters Degree (AQF 9) - Macquarie University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Cheryl Ann Haines | 2000 | 1994 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2002 - Diploma of Superannuation Management - Diploma (AQF 5) - ASFA ~ 2004 - Diploma of Financial Planning - Diploma (AQF 5) - FPA (Deakin University) ~ 2013 - Certified Financial Planner - Professional Designations - FPA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Darryn Thomas Studdert | 2006 | 2004 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2007 - Master of Financial Planning - Masters Degree (AQF 9) - University of the Sunshine Coast ~ 2008 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Declan Mcdonald | 2018 | 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - KAPLAN Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Ela Maria Maganic | 2006 | 1996 - Bachelor of Business (Accounting & Finance) - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2004 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2008 - Certified Financial Adviser - Professional Designations - FPA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Emerson David Scott | 2008 | 2005 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - University of the Free State, South Africa ~ 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2024 - CFP Certification Program - Professional Designations - Financial Advice Association of Australia Limited |
| Glenn Williams | 2017 | 2008 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2019 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Masters of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional |
| James Michael Stewart | 2013 | 2006 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne University ~ 2012 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2018 - Masters of Applied Finance - Masters Degree (AQF 9) - Macquarie Unversity ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Josephine Tannous | 2005 | 2004 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Sydney ~ 2007 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Khalil (charlie) Daher | 2018 | 2013 - Bachelor of Commerce (Accountancy) - Bachelor Degree (AQF 7) - The University of Wollongong ~ 2013 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - The University of Wollongong ~ 2019 - CFP Certification Program - Professional Designations - Financial Advice Association of Australia (previously FPA) ~ 2021 - Ethics and Professionalism in Financial ADvice - Bridging Course - Ethics - Kaplan Professional |
| Mark Bastiaans | 2003 | 2001 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - University of South Australia ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2011 - Certified Financial Planner - Professional Designations - FPA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2024 - Master of Research (Finance) - Masters Degree (AQF 9) - University of South Australia |
| Martin Gee | 1995 | 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2018 - Graduate Diploma of Finance - Graduate Diploma (AQF 8) - Charles Sturt University ~ 2019 - Master of Applied Finance - Masters Degree (AQF 9) - Charles Sturt University ~ 2021 - Ethics and Professional in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Nandita Mathur | 2006 | 2006 - Diploma in Financial Planning - Diploma (AQF 5) - Pinnacle Financial Planning Academy ~ 2008 - BCom (Hons) - Bachelor Degree (AQF 7) - Delhi University, Indraprastha College ~ 2009 - Advanced Diploma in Financial Planning - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2018 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Nareena Aracas | 2007 | 2005 - Diploma of Financial Markets - Diploma (AQF 5) - FINSIA ~ 2007 - Advianced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2013 - Masters of Applied Finance - Masters Degree (AQF 9) - Macquarie University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Neil James Speirs | 2012 | 2012 - Diploma of Financial Planning - - Kaplan ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan ~ 2020 - Graduate Diploma of Finanical Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nicholas Phillips | 1999 | 2010 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2019 - Certified Financial Planner, CFP Professional - Professional Designations - Financial Advice Association Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Patrick Macnamara | 2009 | 2002 - Diploma of Superannuation Management - Diploma (AQF 5) - ASFA ~ 2011 - Certificate of Self-Managed Super (SMSF) - Other - Kaplan Professional ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Richard Purchase | 2005 | 2006 - ADFS (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2007 - CFP - Other - FPA ~ 2009 - MBA (Financial Planning) - Masters Degree (AQF 9) - University Southern Queensland |
| Rita Lamack | 2008 | 1993 - Bachelor of Arts - Bachelor Degree (AQF 7) - University of Newcastle ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Scott Nanfro | 2017 | 2015 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2015 - Bachelor of Engineering (Mechanical Engineering) - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Simone Genevieve D'souza | 2024 | 2010 - Bachelor of Commerce (Human Resource Management) - Bachelor Degree (AQF 7) - The University of Notre Dame Australia ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Toby Perkins | 2012 | 2005 - Bachelor of Commerce (Corporate Finance) - Bachelor Degree (AQF 7) - University of Adelaide ~ 2007 - Graduate Diploma of Global Wealth Management - Graduate Diploma (AQF 8) - University of Adelaide ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2016 - Certified Financial Planner Program - Professional Designations - FPA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Trudy-anne Jenkins | 1998 | 2001 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute Australia ~ 2002 - Graduate Diploma Financial Planning - - Securities Institute of Australia ~ 2004 - Certified Financial Planner - - FPA ~ 2004 - Certified Financial Planner - Professional Designations - FPA ~ 2014 - SMSF - - Cavendish Super P/L & International Centre for Financial Services ~ 2014 - SMSF - Other - Cavendish Super P/L & International Centre for Financial Services ~ 2018 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Vincenzo Bruno Zappia | 2003 | 1999 - Certificate III in Investment and Personal Financial Planning - Certificate (AQF 1-4) - ITC ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Advice Association of Australia ~ 2014 - Master of Commerce (Financial Planning) - Masters Degree (AQF 9) - Western Sydney University ~ 2018 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Vishal Gupta | 2010 | 2000 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Allahabad University ~ 2010 - Diploma of Financial Services - Diploma (AQF 5) - International Institute of Technology ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - International Institute of Technology ~ 2019 - Certified Financial Planner (CFP) - Professional Designations - FPA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |