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;
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;
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 |
|---|---|---|
| Albert Kuris | 2010 | 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Allan Pascoe | 2016 | 2014 - Diploma of Financial Planning - - Monarch Institute ~ 2018 - Adv Dip Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2019 - Bachelor of Business (Fin Mgmt & Acc) - Bachelor Degree (AQF 7) - James Cook University ~ 2023 - Margin Lending Specialist - Certificate (AQF 1-4) - Kaplan Professional |
| Amie Christine Baker | 2009 | 2007 - Dip FP FNS 50611;50804 - - Kaplan ~ 2014 - Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Dip Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Andrew Conn | 2009 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - - Mentor Education |
| Brent Niszczot | 2007 | 2005 - Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd |
| Christopher Remaili | 2016 | 2014 - Bachelor of Business - - UTS ~ 2016 - DFP - - Kaplan |
| David Edwards | 2002 | 2005 - Diploma of Financial Planning - - Kaplan Professional (formerly Tribeca) |
| Davone Saycocie | 2018 | 2019 - Diploma of Financial Services - - Financial Education Professionals ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Francis Kosteliz | 2006 | 2006 - Bachelor of Business - - The University of Newcastle ~ 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Education Pty Ltd (formerly Tribeca) ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2014 - Statement of Attainment - SMSF - - Kaplan Education Pty Ltd ~ 2016 - MBA - Masters Degree (AQF 9) - University of Newcastle |
| Gardiye Kariyawagam Thareendra Mandawala | 2017 | 2016 - Diploma of Financial Planning - - Monarch Institute ~ 2016 - Self Managed Superannuation Funds - Other - Monarch Institute |
| Gary John Schroder | 2012 | 2002 - Entry Level Competencies for Financial Services - - Integratec |
| Geoffrey Oberg | 2002 | 1982 - Bachelor of Commerce - - University of Queensland ~ 2003 - Self Managed Superannuatinon Funds - - Count wealth Accountants ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2013 - ASX Listed Products Accreditation Course (LPAC) - - LPAC Online ~ 2017 - Diploma of Financial Planning - - Kaplan |
| George Sovechles | 1980 | 2018 - Advanced Diploma of Financial Planning - - International Institute of Technology Pty Ltd (IIT) ~ 2018 - Diploma of Financial Planning - - International Institute of Technology Pty Ltd (IIT) |
| Grant Richard Thomson | 2017 | 2016 - FNS50615 Diploma of Financial Planning - - International Institute of Technology ~ 2019 - Advance Diploma of Financial Planning - - International Institute of Technology |
| Ian Benjamin Watson | 2022 | 2021 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Deakin University |
| Ivan Geoffrey Jones | 1998 | 2000 - Diploma of Financial Planning - - Deakin University ~ 2005 - Masters of Commerce - - University of Western Sydney ~ 2008 - MBA - - Melbourne Business School ~ 2019 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Mentor Education ~ 2020 - FPA Aged Care Specialist - Professional Designations - Financial Planning Association |
| Jan Kerridge | 1994 | 1997 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) ~ 2020 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education |
| Jason Seaby | 2015 | 2010 - Tier 1 Margin Lending - Personal Advice - - Kaplan Professional ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - SuperConcepts & ICFS Specialist SMSF Course - - Super Concepts ~ 2018 - ASX Listed Products Accreditation Course - - LPACOnline ~ 2018 - TASACLv2 Commercial Law - - Kaplan Professional |
| Jenkin Wang | 1989 | 2003 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |
| Joel Mullen | 2012 | 2012 - Diploma Financial Planning - - International Institute of Technology ~ 2012 - RG146 Tier 1 Specialist SMSF course - - International Institute of Technology ~ 2013 - Specialist Knowledge in Foreign Exchange - - International Institute of Technology ~ 2021 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology ~ 2021 - Commercial Law for Tax (financial) Advisers - Other - International Institute of Technology |
| John Ian Johnson | 2002 | 2003 - Diploma of Financial Services - - Commonwealth Bank of Australia ~ 2004 - Diploma of Financial Planning - - FPA in co-operation with Deakin University |
| Julie Ann Norris | 1995 | 1990 - Bachelor of Commerce - - University of Wollongong ~ 2021 - MAI769 Ethics for Financial Services - Bridging Course - Ethics - Deakin University |
| Kevin Bouchahine | 2022 | 2018 - Bachelor of Actuarial Studies - Bachelor Degree (AQF 7) - University of NSW ~ 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of NSW ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Magdalene Drossos | 2018 | 2012 - Diploma of Financial Services(Financial Planning) - - International Institute of Technology ~ 2012 - RG146 Tier 1 Specialist Self Managed Superannuation Funds Course - - International Institute of Technology ~ 2013 - Specialist Knowledge in Foreign Exchange - - International Institute of Technology ~ 2019 - Australian Taxation Law for Tax Agents - Other - International Institute of Technology ~ 2021 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - International Institute of Technology |
| Marissa Mcdonald | 2009 | 2009 - Derivities and Securities - - AAMC ~ 2009 - Diploma Financial Services - - AAMC ~ 2009 - Life Insurance Skill Set - - AAMC ~ 2009 - Super and Managed Funds - - AAMC |
| Michael John Lobodarz | 1994 | 2002 - Certified Financial Planner - - Financial Planning Association ~ 2002 - Diploma of Financial Planning - - Deakin ~ 2009 - Certificate IV in Financial Services - Mortgages - - AAMC ~ 2011 - Diploma in Financial Services - Mortgages - - AAMC ~ 2013 - ASX Accredited Listed Products Adviser (ALPA) Programme - - Kaplan |
| Neville Ortega | 1991 | 2003 - Diploma of Financial Planning FNS50611 - - Financial Planning Association of Australia Limited ~ 2005 - Self Managed Superannuation Funds - - Kaplan ~ 2014 - Advance Self Managed Super Funds Program - - Kaplan ~ 2020 - Advance Financial Diploma - Advanced Diploma (AQF 6) - International Institute of Technology |
| Peter Anthony Larkin | 1989 | 1994 - Certificate in Superannuation Management - - Macquarie University ~ 1999 - CFP - - FPA ~ 1999 - Diploma Financial Planning - - Deakin University ~ 1999 - Diploma in Financial Markets - - Securities Institute ~ 2010 - Certificate in SMSF/ASX Accredited listed products/Margin Lending and Geared - - Kaplan |
| Peter Julian Law | 1986 | 2005 - Diploma of Financial Planning FNB50804 - - Tribeca Learning(Aust) Pty Ltd |
| Richard Hinch | 2005 | 1991 - Bachelor of Arts (Honours) - - University of Portsmouth ~ 2009 - Self-Managed Superannuation Funds - - Kaplan Professional ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professionaal ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Rodney Mark Hudson | 2003 | 1991 - Associate Diploma Accounting - - TAFE ~ 2002 - Diploma in Financial Planning - - FPA ~ 2015 - Advance Diploma of Financial Planning - - Kaplan ~ 2016 - Self Managed Superannuation Funds - - Mentor |
| Shannon Dearsly | 2017 | 2015 - Diploma of Financial Planning - - AAMC Training Group ~ 2018 - DFP5v4 Tax for Financial Advising - - Kaplan Professional ~ 2018 - TASACLv2 Commercial Law - - Kaplan Professional |
| Simon Charles Carrie | 1997 | 2004 - Investment Planning 2 - - Tribeca ~ 2004 - Taxation Planning - - Tribeca ~ 2005 - Policy Statement 146 Knowledge Assessment - - Tribeca ~ 2017 - The Strategic Advice Steps for Aged Care - - Aged Care Steps ~ 2018 - ASX Listed Products Accreditation - - LPAC Online |
| Sonia Pace | 2003 | 2004 - Diploma of Financial Services (Financial Planning) - - Integratec (Aust) Pty Limited ~ 2010 - Margin Lending and Geared Investments - - Kaplan Education Pty Limited ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan Education Pty Limited ~ 2015 - Self Managed Superannuation Funds - - Kaplan Education Pty Limited ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Stephen Tilley | 2002 | 2005 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2022 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional |
| Therese Nicole Mckenzie-young | 1981 | 2003 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Integratec (Australia) Pty Ltd ~ 2004 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2009 - Certificate IV Financial Services (Finance/Mortgage Broking) - Certificate (AQF 1-4) - National Finance Institute ~ 2022 - Masters Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Vicki Bryson | 1999 | 1999 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |