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;
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;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alicia Liang Sun | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Economics in Economics and Accounting - University of New South Wales (NSW) ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Amanda Wilesmith | 2014 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Andrew Alastair Gibbs Jones | 1996 | Bachelor of Economics - Australian National University (ANU) ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ MAI769 Ethics for Financial Services - Deakin University ~ Master of Commerce (Financial Planning) - University of Western Sydney |
| Andrew Burnett | 1996 | Bachelor of Commerce - James Cook University ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Fellow Chartered Financial Practitioner (FChFP) - Financial Advice Association of Australia |
| Andrew James Pain | 2004 | Bachelor of Economics - Macquarie University ~ Graduate Diploma in Financial Planning - Securities Institute |
| Anthony Joseph Nichol | 1995 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ 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 |
| Antoinette Galluzzo | 2001 | Diploma of Financial Services (Financial Planning) - Commonwealth Bank of Australia (CBA) ~ Graduate Diploma in Applied Finance and Investment - Securities Institute ~ Graduate Diploma in Financial Planning - Securities Institute |
| Ashish Poudel | 2017 | Bachelor of Accounting - Central Queensland University (CQU) ~ Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Griffith University |
| Benjamin O'connor | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of International Business - Griffith University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Master of Financial Planning - Griffith University |
| Bill Fotopoulos | 1993 | Bachelor of Business (Economics and Finance) - University of Western Sydney ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance and Investment - Securities Institute ~ Graduate Diploma in Financial Planning - Securities Institute |
| Bill Stefani | 1994 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Brendan Stuart Burrows | 2004 | Bachelor of Commerce - University of Wollongong ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Financial Planning - Securities Institute |
| Brendan William Hill | 2018 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bach of Business & Commerce - Monash Uni ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Kaplan |
| Brendon Hewlett | 1997 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Christopher D'cruz | 2000 | Bachelor of Economics - Macquarie University ~ Certificate IV Financial Services (Finance/Mortgage Broking) - Tribeca ~ Diploma of Finance and Mortgage Broking Management - Institute of Strategic Management ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Christopher Tinnefeld | 2018 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Commerce (Finance) - University of Johannesburg ~ Bachelor of Commerce in Financial Planning with Honours - University of Johannesburg ~ Diploma of Financial Planning - Mentor Education |
| Daniel Cheung | 2000 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce (Finance & Economics) - University of Western Sydney ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - Securities Institute |
| Daniel Garry O'rourke | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Securities Institute ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Daniel Leske | 2018 | Bachelor of Business and Economics - Flinders University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ MAI769 Ethics for Financial Services - Deakin University ~ MLC714 Financial Advice Regulation - Deakin University ~ Master of Financial Planning - Deakin University |
| David Debono | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Diploma of Financial Services (Financial Planning) - Integratec (Australia) Pty Ltd ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| David John Kuchel | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business - South Australian Institute of Technology ~ Diploma of Financial Planning - Kaplan Professional |
| David Paul Searle | 2004 | Diploma of Financial Markets - Securities Institute ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional |
| David Yardley | 2011 | Bachelor of Economics - Monash University ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Master of Business Administration - University of New South Wales (NSW) |
| Deen Mcgoldrick | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Applied Finance - Kaplan |
| Desmond Gordon Roll | 1997 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Duro Rudic | 2003 | Associate Diploma of Business (Accounting) - Westpac Banking Corporation ~ Bachelor of Business - Swinburne University of Technology ~ Diploma of Financial Planning - Deakin University |
| Dusica Saric | 2005 | Certificate III in Financial Services (General Insurance) - AMP Limited ~ Diploma of Financial Services (Financial Planning) - AMP Limited ~ Graduate Certificate in Applied Finance - Kaplan Professional ~ Graduate Diploma in Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Elaine Darmody | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional |
| Elio Centofanti | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ DIploma of Financial Markets - Securities Institute ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Emma Jane Franks | 0 | Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Fiona Elizabeth Romano | 2011 | Advanced Diploma of Financial Services (Financial Planning) - MLC Limited ~ Diploma of Financial Services (Financial Planning) - ThreeSixty |
| Gareth Davies | 2013 | Bachelor of Commerce (Economics) - University of South Africa ~ Diploma of Financial Planning - Integrity Education Group ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business Administration - Australian Institute of Business |
| Helen Truong | 2014 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce (Financial Planning) - University of Western Sydney ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Hugh Christopherson | 2015 | Advanced Diploma of Financial Planning - Mentor Education Pty Ltd ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Jackie Kewalram | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Jacqueline Susan Moelzer | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| James Flinn Carroll | 2002 | Advanced Diploma of Accounting - TAFE NSW ~ Advanced Diploma of Financial Services (Financial Planning) - AMP Limited ~ Diploma of Financial Services (Financial Planning) - AMP Limited |
| James Frederick Williamson | 2005 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Services (Financial Planning) - FINSIA ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ SSA - SMSF Specialist Advisor - SMSF Association |
| Joanne Mary Spiteri | 2010 | Advanced Diploma of Financial Services - RG146 Training Australia Pty Ltd ~ Bachelor of Business - Business Management / Human Resources Management - Charles Sturt University ~ Certified Financial Planner program - Financial Advice Association Australia ~ Diploma of Financial Services (Financial Planning) - Three Sixty (GWM Adviser Services) ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Jon Papinczak | 2015 | Bachelor of Commerce (Finance) - University of Queensland ~ Diploma of Financial Planning - Monarch Institute |
| Joseph Coco | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Financial Management) - James Cook University ~ Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Judith Ann Brown | 2003 | Bachelor of Commerce (Accounting) - James Cook University ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Julie Diana Pearsons | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Economics and Financial Planning) - Deakin University ~ Diploma of Financial Planning - Kaplan Professional ~ MAA769 Ethics for Financial Services - Deakin University |
| Karen Sheldon | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Economic & Legal Context for Financial Planning (FPC001B) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Kerrie-lee Lord | 1997 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Kuan Keng Lim | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Bachelor of Arts (Accounting & Finance) - Manchester Metropolitan University ~ Certificate IV in Finance and Mortgage Broking - Australian College of Professionals ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Kurt Marshal Haller | 1995 | Bachelor of Commerce - James Cook University ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Ljupco Ivanov | 2016 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Business (Accounting) - Monash University ~ Bachelor of Business (Banking and Finance) - Monash University ~ Diploma of Financial Planning - Monarch Institute |
| Marc Gratwick | 1998 | Bachelor of Commerce - Griffith University ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Mark Andrew Karhula | 2017 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Michael James Molloy | 1992 | Bachelor of Arts (Economics) - University of New South Wales (NSW) ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Michael John Pagel | 2009 | Bachelor of Business (Management) - Queensland University of Technology (QUT) ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Economics - Griffith University |
| Michael Pavani | 2014 | ALPA Accredited Listed Product Adviser - Kaplan Professional ~ Bachelor of Financial Advising - University of Western Sydney ~ Certified Financial Planner - FAAA ~ Self Managed Superannuation Funds - Kaplan professional ~ TASA and the TPB Code of Professional Conduct - Kaplan Professional |
| Monica Patricia Dignan | 2004 | Bachelor of Business, Financial Planning with Distinction - Royal Melbourne Institute of Technology ~ Certified Financial Planner program - Financial Advice Association Australia ~ Diploma of Financial Planning - Deakin University ~ Master of Financial Planning - Kaplan Professional |
| Nga TO Thi Nguyen | 2017 | Diploma of Financial Planning - Kaplan Professional |
| Nick Fraietta | 2009 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ 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 |
| Nigel Todd Moon | 2016 | ALPA Accredited Listed Product Adviser - Kaplan Professional ~ Bachelor of Business (Finance) - Queensland University of Technology (QUT) |
| Patrick Charles Sheppard | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce (Banking and Finance) - University of Canberra ~ Diploma of Finance and Mortgage Broking Management - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Master of Financial Planning - University of New South Wales (NSW) |
| Patrick Malone | 2018 | Advanced Diploma of Financial Planning - RG146 Mentor Education Group ~ Graduate Certificate in Financial Planning - Griffith University |
| Paul Aspropotamitis | 1997 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Paul Messerschmidt | 2000 | Diploma of Financial Advising - Securities Institute ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Certificate in Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Paul Michael Dawson | 2017 | 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 |
| Philip Trevor Hancox | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Management - University of South Australia ~ Diploma of Financial Planning - Kaplan Professional |
| Ralph Czichon | 1989 | Diploma of Financial Services (Financial Planning) - Tribeca |
| Rhys Harley Yarran Springer | 2018 | Diploma of Financial Planning - Kaplan Professional |
| Robert Alan Dawson | 2002 | Advanced Diploma of Financial Services (Financial Planning) - ThreeSixty ~ Bachelor of Commerce - University of New South Wales (NSW) ~ Graduate Diploma in Applied Finance and Investment - Securities Institute |
| Sean Murphy | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Certificate in Financial Planning - Charles Sturt University (CSU) ~ Master of Applied Finance - Charles Sturt University (CSU) |
| Sebastiano Rio | 1998 | FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Financial Planning - Securities Institute |
| Simon Kendall Rowse | 2000 | Bachelor of Commerce - James Cook University of North Queensland ~ Certified Financial Planner (CFP) - Financial Advice Association of Australia |
| Stephen Edward Duffy | 1996 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Stephen Hayes | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Certificate in Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Steve Sebastian Salvemini | 2013 | Advanced Diploma of Financial Planning - Mentor Education Pty Ltd ~ Associate Diploma of Accounting - TAFE SA ~ Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Stuart Cruickshank | 2010 | Bachelor of Commerce - University of Wollongong ~ Certified Financial Planner program - Financial Advice Association Australia ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Tama Lawrence Ohia | 2023 | Certified Financial Planner - Financial Advice Association Australia ~ 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 |
| Thomas Ilinkovski | 2003 | Certificate IV in Finance and Mortgage Broking - National Finance Institute ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Timothy Meggitt | 2006 | Advanced Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Timothy Stallman | 1999 | ALPA Accredited Listed Product Adviser - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business (Banking & Finance) - Queensland University of Technology (QUT) ~ Certified Financial Planner - Financial Advice Association of Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Trudy Adele Hynds | 2017 | ALPA Accredited Listed Product Adviser - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Vanessa Leigh Martin | 2004 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Services (Financial Planning) - Financial Planning Association of Australia (FPA) |
| Vasileios Gartzonis | 2009 | Bachelor of Commerce (Finance & Economics) - University of Western Sydney ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Yashar Maghrebi | 2017 | Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |