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 | ASX Accredited Derivatives Adviser Level Two - Kaplan Professional ~ Advanced Diploma in Financial Planning - Kaplan Professional ~ Bachelor of Commerce - University of Wollongong ~ Margin Lending and Geared Investments - Kaplan Professional ~ RG146 Accreditation - Stockbrokers Association of Australia |
| Alison Matthews | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Bachelor of Economics - University of Adelaide ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Foundation DFP - FPA/Deakin University |
| Brendan Jones | 2001 | Bachelor Degree - Monash University ~ CFP - Certified Financial Planner - Financial Planning Association of Australia/Deakin University ~ Diploma - Financial Planning - Financial Planning Association of Australia/Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Cassandra Anne Michelle Hirst | 2004 | Bachelor of Commerce - Curtin University of Technology ~ Certificate IV Finance and Mortgage Broking - Kaplan ~ Certified Financial Plannier - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Finsia |
| Charles Edward Moore | 2005 | Bachelor of Arts (Economics and Political Science - University of Sydney ~ Diploma of Applied Finance and Investment - Securities Institute of Australia |
| Craig Adam Tonkes | 2017 | Bachelor of Commerce (Finance) - Flinders University ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Daniel John Meech | 1998 | Bachelor of Commerce - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Graduate Diploma in Financial Planning - Securities Institute of Australia ~ Investment Management Certificate (UK) - UK Society of Investment Professionals |
| David Clark | 2002 | Bachelor Degree - Economics - University of Western Sydney ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma - Applied Finance and Investment - Securities Institute of Australia |
| David Graham Ransom | 2016 | Bachelor of Business (Accounting) - RMIT University ~ Graduate Diploma in Financial Planning - Kaplan |
| Farren Williams | 2002 | Bachelor of Arts - Monash University ~ Bachelor of Science - Monash University ~ Certificate of Financial Planning - Deakin University/FPA ~ Company Directors Course - Australian Institute of Company Directors (AICD) ~ Diploma of Financial Planning - Deakin University/FPA |
| James Alexander Middleditch | 2011 | Foreign Exchange Accreditation - Kaplan Professional ~ Graduate Diploma of Financial Planning - FINSIA ~ Margin Lending and Geared Investments Accreditation - Kaplan Professional ~ Master of Applied Finance (Financial Planning) - Kaplan Professional |
| James Hawthorne | 2010 | Bachelor Degree - Applied Finance (B App Fin) - Macquarie University ~ Bachelor Degree - Law (LLB) - Macquarie University |
| James Monro Dargaville | 0 | Bachelor of Engineering (Civil Engineering) - The University of Sydney ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Jordan Luke Ryan | 2014 | Bachelor of Commerce (Finance & Financial Planning) - Griffith University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) |
| Justin Lucas | 2012 | Accredited Dervivates Adviser - Kaplan ~ Advanced Diploma of Financial Services - Kaplan ~ Bachelor of Commerce - Monash University ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Kalaichelvi Aravindan | 2018 | Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan |
| Leon Lindsay Dier | 2017 | Bachelor of Commerce (Finance) - University of New South Wales ~ Graduate Diploma of Chartered Accounting - Chartered Accountants Australia & New Zealand |
| Mark Lear Pollasky | 1998 | Bachelor of Science (Economics) - University of Wisconsin-Maddison ~ Level 1 Accredited Derivatives Adviser - Kaplan Professional ~ RG 146 - Kaplan Professional ~ Series 7 General Securities Representative - Financial Industry Regulatory Authority (USA) |
| Matthew James Donat | 2009 | Bachelor of Commerce - Monash University ~ Chartered Accountant - Institute of Chartered Accountants Australia ~ Graduate Diploma of Financial Planning - Kaplan |
| Michael Massey | 1998 | Bachelor of Business (Finance) - University of Technology, Sydney ~ Graduate Diploma of Applied Finance - FINSIA |
| Nicholas Andrew Seward Churkovich | 0 | Bachelor of Business (Banking and Finance) - Monash University ~ Graduate Diploma of Chartered Accounting - Chartered Accountants Australia and New Zealand (CA ANZ) ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Nicholas Edward Stanley | 0 | Bachelor of Commerce - The University of Notre Dame Australia ~ GRADUATE DIPLOMA OF FINANCIAL PLANNING - KAPLAN PROFESSIONAL |
| Nikolas Egils Velde | 2000 | Bachelor of Commerce - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Certified Practicing Accountant CPA - CPA Australia ~ Investment Management Certificate - Chartered Institute for Securities & Investment ~ Securities & Investment Institute Diploma - Chartered Institute for Securities & Investment |
| Peter Thomas Dunn | 2000 | Bachelor of Commerce (Accounting) - University of Wollongong ~ Chartered Accountant - Institute of Chartered Accountants ~ Diploma of Financial Planning - Kaplan Professional |
| Sabil Chowdhury | 2015 | Accredited Derivatives Adviser - Level 2 - Kaplan ~ Bachelor of Science - University of New South Wales ~ Diploma of Financial Planning - Kaplan ~ Master of Management - University of Sydney ~ Self Managed Superannuation Funds - Kaplan |
| Sean Abbott | 1998 | Bachelor of Business - University of Technology, Sydney ~ Graduate Diploma of Financial Planning - Securities Institute of Australia |
| Simon Charles Duckett | 1995 | Bachelor of Economics - Macquarie University ~ Graduate Diploma of Applied Finance - FINSIA ~ Master of Applied Finance - Macquarie University |
| Tom Oryl | 2023 | Bachelor of Commerce - Macquarie University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Tier 1 Securities and Managed Investments Personal Advice - Kaplan Professional |
| Troy Andrew Armstrong | 2009 | Bachelor of Commerce (Financial Planning) - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ Master of Financial Planning - Deakin University ~ Self Managed Superannuation Funds - Kaplan Professional |
| Victoria Lindores | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce - University of Melbourne ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Vinay Ramesh | 2017 | Bachelor of Commerce (Professional Accounting) - Macquarie University ~ Core 1 Securities and Managed Investments Accreditation Program - Stockbrokers Association of Australia ~ Foreign Exchange Accreditation Program - Western Sydney University |
| William John Archibald Douglas | 1998 | Bachelor of Commerce - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance - Kaplan Professional |