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;
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;
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 |
|---|---|---|
| Alexander Douglas Maxwell Brown | 1998 | 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2020 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Alexander Johnston | 2016 | 2016 - Diploma of Financial Planning - - Pinnacle ~ 2019 - Advanced Diploma of FP - - Adelaide Institute of Bus/Tech |
| Azad Mammadov | 2021 | 2011 - Bachelor of Business (international Business) - Bachelor Degree (AQF 7) - James Cook University ~ 2018 - Mastter of Finance - Masters Degree (AQF 9) - Griffith University ~ 2020 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Charles Chipperfield | 1987 | 2001 - Diploma of Financial Advising - - Securities Institute ~ 2012 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy Pty Ltd |
| Dane Rabot | 1984 | 2012 - Diploma of Financial Planning - - Kaplan ~ 2013 - Advanced Diploma of Financial Planning - - International Institute of Technology Pty Ltd (IIT) ~ 2017 - Super Concepts & ICFS Specialist SMSF Course - - University of Adelaide |
| Darius Telegaru | 2015 | 2014 - Advanced Diploma of Financial Planning - - International Institute of Technology ~ 2015 - Margin Lending - - Monarch Institute ~ 2022 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2022 - FASEA - Ethics - Other - Financial Adviser Standards and Ethics Authority ~ 2022 - Superannuation - SMSF - Other - SUPERCONCEPTS |
| David Mitchell Yeates | 2001 | 1998 - Bachelor of Commerce - - Griffith University ~ 2001 - Risk Management for Financial Services Professionals - - Integratec ~ 2002 - Diploma of Financial Planning - - FPA ~ 2002 - Diploma of Financial Services - - Deakin University ~ 2016 - Advanced Diploma Financial Planning - - AAMC Training Group ~ 2016 - Self Managed Super Fund - - Integrity Education Group |
| David Ross Bainbridge | 2011 | 1971 - Chartered Acountant - - Institute of Chartered Accountants ~ 1994 - MBA - - Sudney University School of Business ~ 2002 - PS146 - - Securities Institute of Australia ~ 2011 - Diploma Financial Planning - - International Institute of Technology |
| Fahad Chattha | 2015 | 2008 - Bachelor of Commerce - - Deakin University ~ 2015 - Diploma of Financial Planning - - Monarch Institute |
| Gordon Leslie Black | 1990 | 2002 - Certified Financial Planner - - Financial Planning Association ~ 2002 - Diploma of Financial Planning - - Deakin University ~ 2005 - SMSF Specialist Accredition - - SPAA ~ 2010 - Estate Planning - - Uni Tech Sydney |
| Isaac Jacob Mcqueen | 2017 | 2016 - Competencies form part of Diploma of Financial Planning - - Monarch Institute ~ 2017 - Diploma of Financial Planning - - MONARCH |
| Isber Durbali | 2013 | 2010 - Bachelor of Finance - Bachelor Degree (AQF 7) - La Trobe University ~ 2024 - Tax for Financial Advising - Other - Kaplan |
| JY James Duffy | 2023 | 2021 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2022 - FASEA - Other - ASIC ~ 2022 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| James Michael Briscoe | 2023 | 2023 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jonathan Alexander Flint | 2022 | 2005 - Certificate IV in Financial Services (Accounting) - Certificate (AQF 1-4) - RMIT ~ 2009 - Bachelor of Business - Bachelor Degree (AQF 7) - Victoria University |
| Joshua Domenico Rereku Baker | 2022 | 2021 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Swinburne University of Technology |
| Lindley Jean Schneider | 2018 | 2018 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education |
| Mark Candy | 2014 | 2000 - Bachelor of Business (Banking & Finance) - - Monash University ~ 2000 - Diploma of Financial Markets - - Securities Institute/Finsia ~ 2006 - Master of Management - - Southern Cross University ~ 2013 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Self Managed Super Funds - - Mentor Education |
| Michael Ian Sykes | 1988 | 2014 - Diploma of Financial Planning - - Pinnacle ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan ~ 2018 - Graduate Certificate in Financial Planning - - Griffith University ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Michael Trajcevski | 2008 | 2008 - CPA Program - - CPA Australia ~ 2008 - Diploma of Financial Services (Financial Planning) - - PS146 Training Australia |
| Paul Anthony Clark | 2005 | 2002 - Diploma of Financial Planning - CFP - Advanced Diploma (AQF 6) - Financial Planning Association of Australia ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2014 - Master of Business Administration - Masters Degree (AQF 9) - University of Southern Queensland ~ 2019 - Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan Professional ~ 2019 - Self Managed Superannuation Funds Module - - Kaplan Professional |
| Paulus Yeung | 2016 | 2009 - Advanced Diploma of Accounting - Advanced Diploma (AQF 6) - Swinburne University ~ 2011 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Rakesh Stephen Vigh | 2002 | 1998 - Bachelor of Business (Management) - - Queensland University of Technology ~ 1999 - Bachelor of Business (Accounting) - - Queensland University of Technology ~ 2001 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia |
| Sasha Shrestha | 2024 | 2021 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Scott William James Heathwood | 1994 | 1991 - master of arts - - University of NSW ~ 1998 - MBA - - Macquarie University ~ 2002 - PS 146 - - UTS ~ 2010 - Certificate IV - - UTS |
| Shaun Michael Frost | 1987 | 2003 - Certified Financial Planner - - FPA ~ 2003 - Diploma of Financial Planning - - FPA ~ 2016 - Margin Lending - Personal Advice - - Kaplan Professional |
| Yankat Naidu | 2001 | 1997 - Bachelor Degree - Commerce - - Waikato Polytechnic ~ 2005 - Diploma of Financial Planning(RG-146) - Diploma (AQF 5) - Kaplan ~ 2006 - Advanced Diploma - Financial Planning - - Kaplan ~ 2023 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - AAMC |
| Yeshan Gunarathne | 2024 | 2021 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Yohann Sathi Narain | 2010 | 2010 - Diploma of Financial Services - - Investment Banking Institute ~ 2010 - FNS40804 Financial Services - - national Finance Institute |