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;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
---|---|---|
Adam Lea Coles | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
Alan Chung | 2011 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan |
Aldo Domenico Viviani | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy Pty Ltd ~ Diploma of Finance and Mortgage Broking Management - AAMC Training Group ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Andrew Yoong | 2004 | Bachelor of Commerce (Finance) - Curtin University ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
Arash Zamansani | 2014 | Bachelor of Commerce (Accounting and Financial Planning) - Griffith University ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ MAI769 Ethics for Financial Services - Deakin University |
Bradley Craig Shaw | 2007 | Certificate III in Financial Services (General Insurance) - AMP Limited ~ Diploma of Financial Services (Financial Planning) - AMP Limited |
Charles Anthony Knight | 2004 | Diploma of Financial Services (Financial Planning) - Tribeca ~ Graduate Diploma in Accounting - Institute of Chartered Accountants of Australia ~ Professional Diploma in Stockbroking - DeakinPrime |
Christopher Gee | 1998 | Bachelor of Commerce - University of Western Australia ~ Graduate Diploma in Financial Planning - Securities Institute |
Clinton Pentland | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Connie Rose Allie | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Associate Diploma of Business - Barton Institute of Tafe ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ MAI769 Ethics for Financial Services - Deakin University |
Craig John Greenwood | 1996 | Advanced Diploma of Financial Services (Financial Planning) - Archer College ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional |
Daryl Roger La'brooy | 1998 | Bachelor of Business (Accounting) - RMIT University ~ Bachelor of Commerce - University of Melbourne ~ Graduate Diploma in Applied Finance and Investment - Finsia ~ MAI769 Ethics for Financial Services - Deakin University ~ Master of Business Administration - University of Melbourne |
David James Kennedy | 2002 | Advanced Diploma of Financial Services (Financial Planning) - GWM Adviser Services Ltd ~ Graduate Certificate in Applied Finance and Investment - Finsia ~ Master of Business Administration - University of Canberra ~ Professional Diploma in Stockbroking - DeakinPrime |
David John Hall | 2014 | Bachelor of Commerce (Finance & Economics) - University of Sydney ~ Diploma of Financial Planning - Kaplan Professional ~ Master of Applied Finance - Macquarie University |
David Palermo | 2006 | Bachelor of Commerce (Financial Planning) - Deakin University ~ Certificate IV Financial Services (Finance/Mortgage Broking) - Tribeca ~ Diploma of Financial Services (Financial Planning) - AMP Limited ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
David Scott Freer | 2003 | Diploma of Financial Services (Financial Planning) - Kaplan Professional |
Dean Kevin Avery | 1998 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
Gavin Bruce Fernando | 2001 | Bachelor of Commerce (Accounting) - Curtin University ~ Certificate in Financial Markets - Securities Institute ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Glen David Stander | 2006 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Diploma of Superannuation Management - Assoc of Superannuation Funds of Aust Ltd (ASFA) ~ Master of Business Administration - Deakin University ~ Master of Commerce - Deakin University |
Glynn Phillips | 2005 | Bachelor of Economics - James Cook University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Financial Planning - Finsia ~ Master of Business - University of Technology Sydney (UTS) |
Grant Raymond Thompson | 1999 | Advanced Diploma of Financial Services (Financial Planning) - Integratec (Australia) Pty Ltd ~ Diploma of Financial Services (Finance/Mortgage Broking Management) - Plan Connect |
Gregory Fragoulis | 2000 | Certificate IV in Superannuation - Association of Superannuation Funds of Australia Ltd (ASFA) ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
Helen Postle | 1998 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
Holley Pia Lucey | 2011 | 7269AFE/7815AFE Ethics and Professionalism - Griffith University ~ Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd |
Jack Andrew Richards | 2021 | FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
Jack Anthony Walsh | 2024 | 7269AFE/7815AFE Ethics and Professionalism - Griffith University ~ Bachelor of Commerce (Finance and Financial Planning) - Griffith University |
Jade Philip Eley | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Certificate in Financial Planning - Kaplan Professional ~ Graduate Diploma in Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
Jaime Anne Donaldson | 2003 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Integratec (Australia) Pty Ltd ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
Jake Aaron Gomer | 2018 | Bachelor of Commerce (Finance & Economics) - Murdoch University ~ Diploma of Financial Planning - Monarch Institute ~ MAA769 Ethics for Financial Services - Deakin University ~ Master of Financial Planning - Deakin University |
James Henry Ellis | 2014 | Bachelor of Business (Accounting) - Charles Sturt University (CSU) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
James Robert Dilger | 2009 | FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Certificate in Financial Planning - RMIT University ~ Master of Applied Finance - Charles Sturt University (CSU) |
Jayde Lee Coleman | 2018 | Diploma of Financial Planning - Kaplan Professional |
Jethro Samuel | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce - University of Western Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Jordan Hugh Mcmillan | 2014 | Advanced Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) |
Joshua James Pegler | 2017 | Bachelor of Finance - University of Adelaide ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional |
Justin James Hyland | 2010 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Diploma of Financial Services (Financial Planning) - Tribeca |
Kamila Lucie Gallagher | 2006 | Advanced Diploma of Financial Services (Financial Planning) - Archer College ~ Diploma of Business (Accounting) - TAFE SA ~ Diploma of Financial Services (Financial Planning) - Integratec (Australia) Pty Ltd ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional |
Kristian Falconer | 2002 | Graduate Diploma in Financial Planning - Securities Institute |
Kym Clay Thyer | 1980 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Diploma of Life Insurance - Australian Insurance Institute |
Leanne Maree Stokes | 2000 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business (Personal Financial Planning) - University of Southern Queensland |
Leszek Jarco | 2012 | Bachelor of International Finance - University of Adelaide ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) |
Marcus John Occhipinti | 2000 | Bachelor of Commerce - Deakin University ~ Certificate in Financial Markets - Securities Institute ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Mark Christopher Newbert | 1997 | Bachelor of Commerce (Finance & Economics) - Curtin University ~ Certificate IV Financial Services (Finance/Mortgage Broking) - Kaplan Professional ~ Diploma of Financial Services (Finance/Mortgage Broking Management) - Kaplan Professional ~ MAI769 Ethics for Financial Services - Deakin University |
Mary Clare Lorkin | 2023 | Bachelor of Business (Finance) - Queensland University of Technology (QUT) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Matthew Daniells | 2012 | Bachelor of Commerce (Economics and Financial Planning) - Curtin University ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma of Finance and Mortgage Broking Management - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Matthew John Scanlon | 2000 | Bachelor of Economics - Murdoch University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Certificate in Financial Planning - Griffith University |
Megan Anthea Aikman | 2002 | Graduate Diploma in Financial Planning - Securities Institute |
Michael Anthony Adams | 2014 | Bachelor of Commerce with Bachelor of Laws - Macquarie University ~ Diploma of Financial Planning - TAFE NSW |
Michael Bournazi | 0 | Bachelor of Business (Accountancy) - RMIT University ~ Bachelor of Business (Financial Planning) - RMIT University ~ Diploma of Financial Planning - RMIT University |
Michael Stephen Chadwick | 1992 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Monica Ann Gonzales Rayos | 2018 | Bachelor of Commerce (Accounting and Financial Planning) - Griffith University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Nancy Puilan Chan-le | 2023 | FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Nicholas Charles Ferry | 2021 | Bachelor of Commerce (Finance and Financial Planning) - Griffith University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Nicholas David Kidson | 1980 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Diploma of Financial Services (Financial Planning) - Tribeca |
Nicholas William Block | 2022 | Bachelor of Finance - University of Canberra ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
Paul Gorman | 2001 | Bachelor of Commerce (Finance and Marketing) - University of New England ~ Certificate of Superannuation Management - Assoc of Superannuation Funds of Aust Ltd (ASFA) ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
Paul Graham Heanly | 1999 | Bachelor of Economics - University of Newcastle ~ Bachelor of Economics - University of Newcastle ~ Diploma of Financial Planning - Financial Planning Association (FPA) ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ MAI769 Ethics for Financial Services - Deakin University |
Phillip Adrian Jennings | 2005 | Advanced Diploma of Financial Services (Financial Planning) - AMP Limited ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
Rebecca Lauren Webb | 2024 | 7159AFE/7823GBS/7823AFE Principles of Business & Corp Law - Griffith University ~ 7246AFE/7812GBS/7812AFE Behavioural Finance & Wealth Mgmt - Griffith University ~ 7269AFE/7815AFE Ethics and Professionalism - Griffith University ~ Graduate Diploma of Financial Planning - Griffith University |
Richard John Lovell | 2002 | Bachelor of Commerce (Finance) - University of Adelaide ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
Richard Kah Arn Ong | 2007 | Bachelor of Business (Accountancy/Computing) - Charles Sturt University (CSU) ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Master of Business Administration - The University of Hull |
Rikki Juzwin | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Financial Management & Marketing) - La Trobe University ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Robert John Holt | 1982 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
Rodney Brian Bird | 2000 | Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy Pty Ltd ~ Graduate Certificate in Corporate Management - University of Tasmania |
Ryan James Easton | 2018 | Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business Administration - University of Adelaide |
Ryan James Morse | 2011 | Master of Business (Applied Finance) - Queensland University of Technology (QUT) |
Samuel Scott Meredith Harrington | 2004 | Bachelor of Commerce (Finance) - Deakin University |
Sandra Louise Whitear | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Graduate Certificate in Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ MAI769 Ethics for Financial Services - Deakin University |
Scott Cameron Montefiore | 2009 | MAA769 Ethics for Financial Services - Deakin University ~ Master of Business (Applied Finance) - Queensland University of Technology (QUT) |
Scott James Fleming | 2012 | 7159AFE/7823GBS/7823AFE Principles of Business & Corp Law - Griffith University ~ 7269AFE/7815AFE Ethics and Professionalism - Griffith University ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ Graduate Certificate in Financial Planning - Griffith University ~ Master of Financial Planning - Griffith University |
Shane Kevin Lucey | 2013 | Certificate IV Financial Services (Finance/Mortgage Broking) - Traineeship Management Australia (TMA) ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd |
Shannan Theresa Calabro | 2012 | Bachelor of Commerce - Griffith University ~ Diploma of Financial Planning - Kaplan Professional |
Simon Gregory White | 1998 | Bachelor of Commerce - University of Wollongong ~ Certificate of Superannuation Management - Association of Superannuation Funds of Australia Ltd (ASFA) ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
Simon James Everett | 2001 | Bachelor of Business (Accounting) - Curtin University ~ Certificate IV in Finance and Mortgage Broking - AAMC Training Group ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional |
Stephanie Bakis Ucchino | 2016 | Bachelor of Commerce (Commercial Law) - Macquarie University ~ Diploma of Financial Planning - Kaplan ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Stephen G Shaw | 1993 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
Stephen John Jones | 2015 | Bachelor of Business (Accounting) - Swinburne University of Technology ~ Diploma of Financial Planning - CPA Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
Steven Hall | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business - Swinburne Institute of Technology |
Steven LY | 2014 | Advanced Diploma of Financial Services (SMSF) - Integrity Education Group ~ Bachelor of Business - Swinburne University of Technology ~ Diploma of Financial Planning - Investment Banking Institute (IBI) ~ MAI769 Ethics for Financial Services - Deakin University |
Susan Jennifer Ray | 1991 | Advanced Diploma of Financial Services (Financial Planning) - AMP Limited ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
Thomas Schipilliti | 2003 | Bachelor of Commerce - University of Western Sydney ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ MAI769 Ethics for Financial Services - Deakin University |
Troy Matthew Gallasch | 2006 | Bachelor of Business (Banking & Finance) - University of South Australia (UNISA) ~ Graduate Diploma in Financial Planning - Securities Institute |
Vanessa Nhan | 2017 | Bachelor of Business - University of Technology Sydney (UTS) ~ Diploma of Financial Planning - Kaplan Professional ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional |
Warwick John French | 2002 | Bachelor of Business - University of New England ~ Industry Standard Education - RG146 specialist knowledge - Financial Planning Association of Australia (FPA) |
Yogesh Amrital Rupshi Shah | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Financial Planning Association of Australia (FPA) ~ MAI769 Ethics for Financial Services - Deakin University |