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;
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;
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 |
|---|---|---|
| Alicia Minnie | 0 | 2017 - Baccalaureus Commercii in Finance - Bachelor Degree (AQF 7) - University of Johannesburg ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Andreas Kettemann | 2017 | 2012 - Bachelor of Commerce - - The University of Notre Dame Australia ~ 2014 - Master of Professional Accounting - - The University of Notre Dame Australia ~ 2015 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2017 - Graduate Diploma of Chartered Accounting - - Chartered Accountants Australia and New Zealand ~ 2017 - Self Managed Superannuation Funds - - Mentor Education |
| Andrew Satinover | 2014 | 2007 - Bachelor of Business (Accounting & Finance) - - Edith Cowan University ~ 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan ~ 2021 - Financial Advisers Exam - Other - FASEA |
| Barbara Kelly | 2011 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2021 - Ethics for Financial Services - Bridging Course - Ethics - Deakin Business School ~ 2021 - Graduate Diploma of Financial Services - Graduate Diploma (AQF 8) - Deakin University ~ 2022 - Accredited Aged Care Professional - Other - Aged Care Steps |
| Blair Milne | 2016 | 2011 - Master of Arts (Economics) - Bachelor Degree (AQF 7) - University of Glasgow, United Kingdom ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Ethis and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan Professional |
| Bradley Robert Bacon | 1997 | 1987 - Bachelor of Associate Arts and Science - Accounting & Finance - - Edmonds Community College ~ 2006 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2011 - Diploma in Financial Services (Financial Planning equivalent) - - Kaplan Professional ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional |
| Brett Lee Crabtree | 2001 | 2003 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University & FPA |
| Brian Perrin | 1992 | 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology |
| Byron Breckle | 2017 | 2015 - Diploma of Financial Planning - - Kaplan Professional Education |
| Christopher Herdman | 2014 | 2014 - Bachelor of Financial Planning - Bachelor Degree (AQF 7) - Central Queensland University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2019 - Fellow Chartered Financial Practitioner (FChFP) - Professional Designations - Association of Financial Advisers ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Daniel Steven Wood | 2011 | 2011 - Bachelor of Commerce - - University of Queensland ~ 2011 - Bachelor of Economics - - University of Queensland ~ 2013 - Diploma of Financial Planning - - Kaplan Professional |
| Darren Lyell Titmus | 1999 | 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Pinnacle Financial Services Academy Pty Ltd |
| Deon Louis Paoliello | 1995 | 2010 - Diploma of Financial Services (Financial Planning) - - AAMC Training Group ~ 2010 - Postgraduate Diploma in Financial Planning - - University of the Free State (South Africa) ~ 2020 - Self Managed Superannuation Funds - Other - Kaplan |
| Erica Joan Cummins | 2013 | 2002 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Education Pty Ltd |
| Ern Chiat Teoh | 2000 | 1997 - Bachelor of Banking and Finance - - Queensland University of Technology ~ 2006 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2007 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2012 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Francis Gerald Monaghan | 2017 | 2017 - Advanced Diploma of Financial Planning - - International Institute of Technology Pty Ltd (IIT) ~ 2019 - AFA Fellow Chartered Financial Practitioner (FChFP) - Professional Designations - Campusafa ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2021 - Introduction to Self Managed Superannuation Funds - Other - Kaplan |
| Galen Trienen | 2003 | 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2005 - Self Managed Super Funds - - Tribeca ~ 2007 - Margin Lending and Geared Investments - - Tribeca ~ 2012 - Master of Financial Planning - - Sunshine Coast University ~ 2013 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) |
| George Kapiniaris | 2007 | 1983 - Bachelor of Economics - - Monash University ~ 2007 - Diploma of Financial Services (Financial Planning) - - FINSIA Education (Kaplan Professional) ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional |
| Hao Min | 2006 | 2003 - Bachelor of Economics - - University of Adelaide ~ 2005 - Certificate in Financial Planning Skills and Compliance - - FINSIA ~ 2005 - Master of Commerce (Applied Finance) - - University of Adelaide ~ 2009 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Janean Edna Hicks | 2010 | 2009 - Diploma of Financial Services - - Kaplan ~ 2014 - Accredited Listed Product Adviser Program - - Kaplan ~ 2014 - Self Managed Superannuation Funds - - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jasmin Jakupovic | 2006 | 2006 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Tribeca ~ 2009 - Certified Financial Planner - Graduate Certificate (AQF 8) - FPA ~ 2010 - Margin Lending - Other - GWM Adviser Services Ltd T/A Advice Education ~ 2013 - SMSF Specialist Adviser - Professional Designations - SMSF Association of Australia |
| Katrina Marie Robbins | 1985 | 2002 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2015 - SMSF Specialist Advisor - - Self Managed Super Fund Assoication ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2021 - Accredited Aged Care Professional - Other - Aged Care Steps |
| Leighton James Howard | 0 | 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
| Lisa Christine Holland | 2005 | 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2014 - Advanced Diploma of Financial Planning - - International Institute of Technology ~ 2021 - Introduction to Self Managed Superannuation Funds - Other - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Marco Mellado | 2002 | 2004 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2008 - Certified Financial Planner - - Financial Planning Association of Australia Limited ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2011 - Self-Managed Superannuation Funds - - Adelaide University |
| Marissa DE Saint Quentin | 2000 | 2003 - Diploma of Financial Planning - - Kaplan ~ 2004 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Tribeca ~ 2006 - Advanced Diploma of Financial Planning - - Kaplan ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2011 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - Certified Financial Planner - - Deakin University ~ 2021 - Introduction to Self Managed Superannuation Funds - Other - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Mark Edwards | 2007 | 1999 - Bachelor of Commerce (Property and Finance) - - Curtin University of Technology ~ 2004 - Diploma of Financial Planning - - Financial Planning Association ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2017 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Matthew Monaco | 2016 | 2011 - Bachelor of Commerce (Property) - - Curtin University of Technology ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2023 - Tier1 Margin Lending - Other - Kaplan |
| Mike Haberfield | 1998 | 1971 - Bachelor of Economics - - Monash University ~ 1991 - Graduate Diploma of Accounting - - Deakin University (formerly Victoria College) |
| Natasha Renou | 2018 | 2015 - Bachelor of Business Finance - - QLD University of Technology ~ 2018 - Diploma of Financial Planning - - Kaplan |
| Nicholas Angelo Gino Zito | 0 | 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Nicholas Kenneth Jolly | 2017 | 2014 - Bachelor of Economics - - University of Western Australia ~ 2017 - Diploma of Financial Planning - - Monarch Institute |
| Onur Serbest | 2016 | 2010 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2016 - Certified Financial Adviser (CFP) - Certificate (AQF 1-4) - Financial Planning Association of Australia (FPA) ~ 2024 - Accredited Listed Product Adviser Program - Other - Kaplan Professional |
| Paul Alexander Macfarlane | 2006 | 2018 - Graduate Certificate of Financial Planning - - Kaplan Higher Education |
| Paul Buxton Hanley | 2013 | 1984 - Bachelor of Commerce - - University of Witwatersrand ~ 1986 - Bachelor of Accounting - - University of Witwatersrand ~ 2015 - Diploma of Financial Planning - - Pinnacle Financial Services Academy ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Financial Advisers Exam - Other - FASEA |
| Paul Catalini | 2013 | 2002 - Master of Finance - - Curtin University ~ 2012 - Advanced Diploma Of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Paul Vukman | 2005 | 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2024 - Accredited Listed Product Adviser Program - Other - Kaplan |
| Poonam DI Iorio | 2015 | 2011 - SMSF Specialist Advisor - - SMSF Professionals' Association of Australia ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2013 - Margin Lending - - Kaplan Professional Education ~ 2021 - Financial Advisers Exam - Other - FASEA |
| Richard Searle Loring | 2017 | 2006 - Bachelor of Commerce - - University of Tasmania ~ 2017 - Diploma of Financial Planning - - Monarch Institute |
| Robert Allen Kruit | 2017 | 2015 - Bachelor of Business (Finance) - - Edith Cowan University ~ 2022 - SMSF Association Specialist Member Accreditation Program - Other - SMSF Association |
| Salvatore Pizzata | 2004 | 1994 - Bachelor of Commerce - - Curtin University ~ 2006 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - FINSIA |
| Seng Choon Kwa | 2001 | 2001 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) |
| Shane John Graham | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education Pty Ltd |
| Stuart Lenton | 2008 | 2008 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2008 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2015 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Tharee Kim-hai Siauw | 2009 | 2006 - Bachelor of Commerce - - University of Queensland ~ 2008 - Graduate Diploma of Financial Planning - - Finsia ~ 2012 - Certificate IV in Finance and Mortgage Broking - - Kaplan ~ 2014 - Margin Lending Accreditation Program - - Kaplan ~ 2014 - SMSF Accreditation - - Kaplan |
| Thomas Dubelaar | 2006 | 2000 - Bachelor of Business and Electronic Commerce - - Monash University ~ 2006 - Diploma of Financial Service (Financial Planning) - - Tribeca/Kaplan Education ~ 2009 - Advanced Diploma of Financial Service (Financial Planning) - - Tribeca/Kaplan Education |
| Thomas Edward Foreman | 2013 | 2012 - Bachelor of Commerce (Financial Planning & Sports Management) - Bachelor Degree (AQF 7) - Deakin University |
| Timothy David Barnes | 1996 | 1995 - Diploma of Financial Planning - - FPA |
| Vikram Chopra | 2006 | 2003 - Bachelor of Economics - - University of Adelaide ~ 2003 - Bachelor of Finance - - University of Adelaide ~ 2007 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2010 - Self Managed Superannuation Funds - Other - Kaplan ~ 2017 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |