This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
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;
interests in managed investment schemes limited to:
MDA services;
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 to retail and wholesale clients in respect of the following classes of financial products:
derivatives;
foreign exchange contracts; and
interests in managed investment schemes limited to:
MDA services; and
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
interests in managed investment schemes excluding investor directed portfolio services; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients 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;
foreign exchange contracts;
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
provide the following custodial or depository services to wholesale clients:
operate custodial or depository services other than investor directed portfolio services.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Luke Horton | 2012 | 2004 - Bachelor of Commerce - - University of Wollongong ~ 2005 - RG146 Accreditation - - Stockbrokers Association of Australia ~ 2007 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2008 - ASX Accredited Derivatives Adviser Level Two - - Kaplan Professional ~ 2014 - Advanced Diploma in Financial Planning - - Kaplan Professional |
| Alison Matthews | 2007 | 2001 - Bachelor of Economics - - University of Adelaide ~ 2004 - Foundation DFP - - FPA/Deakin University ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2009 - Certified Financial Planner - - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Brendan Jones | 2001 | 1997 - Bachelor Degree - - Monash University ~ 2000 - Diploma - Financial Planning - - Financial Planning Association of Australia/Deakin University ~ 2004 - CFP - Certified Financial Planner - - Financial Planning Association of Australia/Deakin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Brittney Rose Brockhurst | 0 | 2012 - BACHELOR OF BUSINESS - Bachelor Degree (AQF 7) - QUEENSLAND UNIVERSITY OF TECHNOLOGY ~ 2024 - GRADUATE DIPLOMA OF FINANCIAL PLANNING - Graduate Diploma (AQF 8) - KAPLAN PROFESSIONAL |
| Caitlin Laffey | 2014 | 2011 - Bachelor of Commerce (Economics and Finance) - Bachelor Degree (AQF 7) - University of Otago ~ 2018 - Foreign Exchange Accreditation - Other - SAFAA ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Cassandra Anne Michelle Hirst | 2004 | 2002 - Bachelor of Commerce - - Curtin University of Technology ~ 2007 - Graduate Diploma of Financial Planning - - Finsia ~ 2010 - Certified Financial Plannier - - Financial Planning Association of Australia ~ 2014 - Certificate IV Finance and Mortgage Broking - - Kaplan |
| Charles Edward Moore | 2005 | 1992 - Bachelor of Arts (Economics and Political Science - - University of Sydney ~ 2008 - Diploma of Applied Finance and Investment - - Securities Institute of Australia |
| Craig Adam Tonkes | 2017 | 1995 - Bachelor of Commerce (Finance) - - Flinders University ~ 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca |
| Daniel John Meech | 1998 | 1995 - Bachelor of Economics - - University of Queensland ~ 1996 - Bachelor of Commerce - - University of Queensland ~ 1999 - Graduate Diploma in Financial Planning - - Securities Institute of Australia ~ 2002 - Investment Management Certificate (UK) - - UK Society of Investment Professionals |
| David Clark | 2002 | 1996 - Bachelor Degree - Economics - - University of Western Sydney ~ 2000 - Graduate Diploma - Applied Finance and Investment - - Securities Institute of Australia ~ 2003 - CFP - Certified Financial Planner - - Financial Planning Association of Australia |
| David Graham Ransom | 2016 | 2012 - Bachelor of Business (Accounting) - - RMIT University ~ 2015 - Graduate Diploma in Financial Planning - - Kaplan |
| Elizabeth Mary Watson | 2013 | 2011 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2013 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2020 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Farren Williams | 2002 | 2000 - Bachelor of Arts - - Monash University ~ 2000 - Bachelor of Science - - Monash University ~ 2004 - Diploma of Financial Planning - - Deakin University/FPA ~ 2006 - Certificate of Financial Planning - - Deakin University/FPA ~ 2013 - Company Directors Course - - Australian Institute of Company Directors (AICD) |
| James Alexander Middleditch | 2011 | 2008 - Graduate Diploma of Financial Planning - - FINSIA ~ 2010 - Master of Applied Finance (Financial Planning) - - Kaplan Professional ~ 2011 - Foreign Exchange Accreditation - - Kaplan Professional ~ 2011 - Margin Lending and Geared Investments Accreditation - - Kaplan Professional |
| James Hawthorne | 2010 | 2008 - Bachelor Degree - Applied Finance (B App Fin) - - Macquarie University ~ 2008 - Bachelor Degree - Law (LLB) - - Macquarie University |
| James Monro Dargaville | 0 | 2018 - Bachelor of Engineering (Civil Engineering) - Bachelor Degree (AQF 7) - The University of Sydney ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jeffrey Nagisa Bromfield | 2023 | 2008 - Diploma of Financial Markets - Diploma (AQF 5) - FINSIA ~ 2009 - Diploma of Financial Services - Diploma (AQF 5) - KAPLAN ~ 2013 - Bachelor of Business (Major in Financial Planning) - Bachelor Degree (AQF 7) - RMIT ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jordan Luke Ryan | 2014 | 2013 - Bachelor of Commerce (Finance & Financial Planning) - Bachelor Degree (AQF 7) - Griffith University ~ 2019 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) |
| Justin Lucas | 2012 | 2006 - Bachelor of Commerce - - Monash University ~ 2008 - Advanced Diploma of Financial Services - - Kaplan ~ 2008 - Diploma of Financial Planning - - Kaplan ~ 2011 - Accredited Dervivates Adviser - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Kalaichelvi Aravindan | 2018 | 2013 - Graduate Diploma of Financial Planning - - Kaplan ~ 2015 - Master of Financial Planning - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Leon Lindsay Dier | 2017 | 2010 - Bachelor of Commerce (Finance) - - University of New South Wales ~ 2013 - Graduate Diploma of Chartered Accounting - - Chartered Accountants Australia & New Zealand |
| Mark Lear Pollasky | 1998 | 1990 - Bachelor of Science (Economics) - - University of Wisconsin-Maddison ~ 2001 - RG 146 - - Kaplan Professional ~ 2002 - Series 7 General Securities Representative - - Financial Industry Regulatory Authority (USA) ~ 2003 - Level 1 Accredited Derivatives Adviser - - Kaplan Professional |
| Mathew Stinton | 2000 | 2003 - Bachelor of Business - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2006 - Advanced Diploma - Financial Planning - Advanced Diploma (AQF 6) - Deakin ~ 2015 - CFP - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Matthew James Donat | 2009 | 2007 - Bachelor of Commerce - - Monash University ~ 2010 - Chartered Accountant - - Institute of Chartered Accountants Australia ~ 2013 - Graduate Diploma of Financial Planning - - Kaplan |
| Michael Massey | 1998 | 1998 - Bachelor of Business (Finance) - - University of Technology, Sydney ~ 2002 - Graduate Diploma of Applied Finance - - FINSIA |
| Nicholas Andrew Seward Churkovich | 2024 | 2016 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2020 - Graduate Diploma of Chartered Accounting - Graduate Diploma (AQF 8) - Chartered Accountants Australia and New Zealand (CA ANZ) ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nicholas Edward Stanley | 0 | 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Notre Dame Australia ~ 2022 - GRADUATE DIPLOMA OF FINANCIAL PLANNING - Graduate Diploma (AQF 8) - KAPLAN PROFESSIONAL |
| Nikolas Egils Velde | 2000 | 1996 - Bachelor of Economics - - University of Queensland ~ 1997 - Bachelor of Commerce - - University of Queensland ~ 2000 - Certified Practicing Accountant CPA - - CPA Australia ~ 2002 - Investment Management Certificate - - Chartered Institute for Securities & Investment ~ 2005 - Securities & Investment Institute Diploma - - Chartered Institute for Securities & Investment |
| Paul David Begley | 1994 | 1994 - Bachelor of Commerce in Accounting & Business Law - - Curtin University of Technology ~ 1998 - Associate Chartered Accountant - - Institute of Chartered Accountants ~ 2003 - Graduate Diploma in Financial Planning - - Financial Services Institute of Australasia ~ 2011 - SMSF Specialist Advisor - - Self Managed Superannuation Fund Association ~ 2012 - Chartered Tax Adviser - - Tax Institute of Australia |
| Peter Thomas Dunn | 2000 | 1992 - Bachelor of Commerce (Accounting) - - University of Wollongong ~ 1996 - Chartered Accountant - - Institute of Chartered Accountants ~ 2015 - Diploma of Financial Planning - - Kaplan Professional |
| Sabil Chowdhury | 2015 | 2010 - Bachelor of Science - - University of New South Wales ~ 2011 - Master of Management - - University of Sydney ~ 2015 - Diploma of Financial Planning - - Kaplan ~ 2015 - Self Managed Superannuation Funds - - Kaplan ~ 2016 - Accredited Derivatives Adviser - Level 2 - - Kaplan |
| Sarah Alvares | 2007 | 2003 - Bachelor of Arts & Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2008 - Advanced Diploma in Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - ThreeSixty ~ 2010 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Sarah Louise Sheehan | 2022 | 2020 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Griffith University ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Sean Abbott | 1998 | 1991 - Bachelor of Business - - University of Technology, Sydney ~ 2000 - Graduate Diploma of Financial Planning - - Securities Institute of Australia |
| Simon Charles Duckett | 1995 | 1993 - Bachelor of Economics - - Macquarie University ~ 1995 - Graduate Diploma of Applied Finance - - FINSIA ~ 2002 - Master of Applied Finance - - Macquarie University |
| Simon Richard Talbot | 2003 | 1998 - Bachelor of Economics - Bachelor Degree (AQF 7) - The University of Adelaide ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association ~ 2018 - Foreign Exchange Accreditation Program - Other - SAFAA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Tom Oryl | 2023 | 2016 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Macquarie University ~ 2018 - Tier 1 Securities and Managed Investments Personal Advice - Certificate (AQF 1-4) - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Troy Andrew Armstrong | 2009 | 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2018 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Victoria Lindores | 2004 | 2003 - Bachelor of Commerce - - University of Melbourne ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2008 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Vinay Ramesh | 2017 | 2014 - Bachelor of Commerce (Professional Accounting) - - Macquarie University ~ 2016 - Core 1 Securities and Managed Investments Accreditation Program - - Stockbrokers Association of Australia ~ 2018 - Foreign Exchange Accreditation Program - - Western Sydney University |
| William John Archibald Douglas | 1998 | 1996 - Bachelor of Economics - - University of Queensland ~ 1998 - Bachelor of Commerce - - University of Queensland ~ 2002 - Graduate Diploma of Applied Finance - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| William Ratcliffe | 0 | 2018 - BACHELOR OF COMMERCE - Bachelor Degree (AQF 7) - THE UNIVERSITY OF SYDNEY ~ 2023 - GRADUATE DIPLOMA OF FINANCIAL PLANNING - Graduate Diploma (AQF 8) - KAPLAN PROFESSIONAL |