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;
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;
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 Bruce Cook | 1998 | Applied Finance and Investment - Securities Institute ~ Bachelor of Commerce in Marketing - The University of New South Wales ~ Margin Lending and Geared Investments - Kaplan ~ Professional Certificate in Self-Managed Superannuation Funds - The University of Adelaide |
| Alexander Luck | 2014 | Bachelor of Commerce - The University of Western Australia ~ Bachelor of Economics - The University of Western Australia ~ Commerical Law for Tax (Financial) Advisers - Mentor Education ~ Master of Financial Planning - Applied Financial Planning, Superannuation & Retirement - Kaplan ~ Self Managed Superannuation Fund Adviser - Mentor Education |
| Andrew James Wolfe | 2012 | Bachelor of Commerce Major in Accounting & Finance - University of Western Australia ~ Bachelor of Commerce – Major in Accounting & Finance - University of Western Australia ~ Chartered Accountant - Institute of Chartered Accountants ~ Diploma of Financial Planning - Kaplan Professional Education |
| Andrew Nathan Corrin | 2018 | Accredited Listed Product Adviser Program - Kaplan ~ Advanced Diploma of Financial Services - Kaplan ~ DPML Margin Lending - Pinnacle ~ Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Andrew Vincent Brown | 2005 | Bachelor of Economics - University of Western Sydney ~ Diploma of Financial Planning - Finsia ~ Self Managed Superannuation Funds - Kaplan |
| Ashley Pickett | 2024 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Bill Savellis | 2002 | Accredited Listed Product Adviser Program - Kaplan ~ Advanced Diploma of Financial Services - ThreeSixty ~ Margin Lending & Geared Investments - Kaplan ~ Master of Financial Planning - University of the Sunshine Coast ~ Self Managed Superannuation Funds - Kaplan |
| Brett Douglas Waldock | 2015 | Advanced Diploma of Financial Planning - Mentor Education ~ Australian Taxation Law - Mentor Education ~ Commerical Law - Mentor Education ~ Diploma of Financial Planning - AAMC Training Group ~ Self Managed Superannuation Fund Advice - Mentor |
| Carl Cavallaro | 2013 | Bachelor of Commerce - University of New England ~ Certificate IV Financial Services (Mortgage Broking) - MFAA ~ Diploma in International Business - University of New England ~ Diploma of Financial Services - RG 146 |
| Daisy Stella Magor | 2022 | Bachelor of Commerce - Curtin University ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Damian Aloysius Crowe | 1999 | Bachelor of Business (Accounting major) - University of Western Sydney ~ CPA Program - CPA Australia ~ Certified Financial Planner - FPA ~ Financial Planning Specialist - FPA ~ Public Practice Certificate - CPA Australia |
| Dane Maistry | 2015 | Bachelor of Financial Advising - University of Western Sydney |
| Danny John Ellis | 2003 | Diploma of Financial Services (Financial Planning) FNB50802 - Deakin Financial Services Pty Ltd ~ Entry Level Competencies - Tribeca Learning ~ Risk Management - Tribeca Learning |
| Dean Burke O'hara | 2014 | Diploma of Financial Planning - Kaplan |
| Drew Fitzgerald Partridge | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Economics) - Queensland University of Technology (QUT) ~ Margin lending Adviser (Personal Advice) - Mentor Education ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
| Dylan Mail | 2003 | Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Bachelor Of Commerce - University Of Queensland ~ Bachelor Of Commerce - University Of Queensland ~ Graduate Diploma of Financial Planning - Securities Institute of Australia ~ Graduate Diploma of Financial Planning - Securities Institute of Australia |
| Ilias Theodore Stoikos | 1995 | Accredited Listed Product Adviser Program - Kaplan ~ Diploma of Financial Services - Mentor ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
| Jesse David Yates | 2007 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Cavendish & ICFS Specialist SMSF Course - University of Adelaide ~ Diploma of Financial Services (Financial Planning) - AMP Financial Planning ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Master of Financial Planning - Kaplan Professional Education |
| John David Stallman | 1987 | Bachelor of Applied Science - The Queensland Agricultural College ~ Certificiate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma in Financial Management - The University of New England ~ Diploma of Financial Planning - Deakin University ~ Self Managed Superannuation Fund - Kaplan Professional |
| Joshua Stone | 2006 | Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
| Julian Russell | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Certificate IV Financial Services (Finance/Mortgage Broking) - Traineeship Management Australia (TMA) ~ Certificate IV Financial Services (Finance/Mortgage Broking) - Traineeship Management Australia (TMA) ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Master of Business Administration - University of New South Wales (NSW) ~ Master of Business Administration - University of New South Wales (NSW) |
| Justin Pagotto | 2003 | Bachelor of Commerce - University of New South Wales ~ Count Wealth Accountants Introductory Training - Count Wealth ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan ~ Taxation Fundamentals - Kaplan |
| Katrina Amy Smith | 2022 | Bachelor of Commerce - Curtin University of Technology ~ Graduate Diploma of Financial Planning - Kaplan |
| Lachlan Douglas Sunderland Schonfelder | 1995 | Diploma of Financial Planning - Financial Planning Association |
| Mark Boyd | 2017 | Advanced Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Bachelor of Commerce - The University of New South Wales ~ Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Graduate Diploma of Chartered Accounting - Chartered Accountants Australia & New Zealand ~ Self Managed Superannuation Funds - Kaplan Education Pty Ltd |
| Mark Tavanyar | 2000 | Advanced Diploma of Financial Planning - Mentor ~ Diploma of Financial Services (Financial Planning) - Integratec |
| Michelle Baumanis | 2004 | Diploma of Finance and Mortgage Broking Management - AAMC ~ Diploma of Financial Planning - Kaplan |
| Peter Lapthorne | 1999 | Advanced Diploma of Financial Planning - Mentor ~ Diploma of Financial Services (financial Planning) - Tribeca ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Philip Barclay Rofe | 2003 | Accredited Derivatives Advisor 1&2 - Kaplan ~ FASEA ASIC Adviser Exam - ASIC ~ Master of Business Adminstration - Bond University ~ Master of Financial Planning - UNSW |
| Rebecca Rousell | 2012 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma - Financial Planning - Kaplan Professional Education ~ Graduate Certificate in Financial Planning - Kaplan ~ Graduate Diploma in Financial Planning - Kaplan ~ Masters of Financial Planning - Kaplan |
| Robert Anthony Zajac | 2004 | Bachelor of Commerce - Griffith University ~ Margin Lending and Geared Investments - Kaplan |
| Ryan David Grant | 2008 | Bachelor of Commerce (Financial Planning and Investments) - Griffith University ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - The National Finance Institute ~ Certification in Self Managed Super Funds - RG146 Training Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending Certification - Mentor Education |
| Scott Anthony Everingham | 2000 | Certified Financial Planner - FPA ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Scott James Taylor | 2018 | Advanced Financial Planning - Kaplan ~ Commercial Law - Kaplan ~ DFP5v3 Tax for Financial Advising - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Margin Lending and Geared Investments - Kaplan |
| Sonia Matkovic | 2008 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - International Institute of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professinal ~ Self Managed Super Fund - International Institute of Technology |
| Susan Elizabeth Bryant | 1988 | Diploma in Financial Services (Financial Planning) - Tribeca |
| Thomas Euvrard | 2014 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - Deakin University ~ Diploma - Financial Planning - Kaplan Professional |
| William Medhurst | 1972 | DFP1, DFP2 - Financial Plannnig Association ~ Investment Planning 1 - Integratec ~ Superannuation and Retirement Planning - Integratec |