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;
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;
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 |
|---|---|---|
| Andrew David Morgan | 2005 | 2005 - Diploma Financial Services (Financial Planning) FNB50802 - Diploma (AQF 5) - Kaplan Australia ~ 2006 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2008 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) |
| Anthony Sebastian Bonilla | 2008 | 2009 - Bachelor of Business (Economics & Finance) - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Augusto Hernan Reyes | 2004 | 1997 - Advance Diploma of Accounting - Advanced Diploma (AQF 6) - TAFE ~ 2000 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2004 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA ~ 2005 - CFP Education Program - Professional Designations - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN Professional |
| Ben Sgro | 2018 | 2017 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2018 - FNS50615 Diploma of Financial Planning - Diploma (AQF 5) - Diploma of Financial Planning ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Bill Patterson | 2010 | 2008 - Diploma of Financial Services FNS50104 - Diploma (AQF 5) - Finsia ~ 2010 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2016 - FNS60410 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Brandon James Anderson | 2018 | 2015 - Bachelor of Commerce - Human Resource Management & Financial Planning - Bachelor Degree (AQF 7) - University of Wollongong ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Cara Ferguson | 2016 | 2014 - Bachelor of Arts - Diploma of Language - Bachelor Degree (AQF 7) - Flinders University ~ 2016 - FNS50615 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - FNS60415 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Carol Keller | 2022 | 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Chloe Anne Langdon | 2017 | 2014 - FNS50611 Diploma of Financial Planning - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2016 - Advanced Diploma of Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Mentor Education ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Christopher Goh | 2023 | 2009 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2018 - FNS50615 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Christopher Leo Kelly | 2005 | 1990 - Bachelor of Science - Bachelor Degree (AQF 7) - University of New South Wales ~ 2004 - Diploma of Financial Markets 91018 NSW - Advanced Diploma (AQF 6) - Securities Institute ~ 2005 - Diploma of Financial Services (Financial Planning)(FNS50804) - Diploma (AQF 5) - AMP Financial Services ~ 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2012 - Certificate of Completion Margin Lending and Geared Investments - - Kaplan |
| Cody Nicholas Findlay | 2018 | 2018 - Bachelor of Applied Finance with the degree of Bachelor of Economics - Bachelor Degree (AQF 7) - Macquarie University ~ 2018 - FNS50615 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| DA Hye Lee | 2017 | 2011 - Bachelor of Applied Finance with the degree of Bachelor of Commerce - Accounting - Bachelor Degree (AQF 7) - Macquarie University ~ 2015 - Diploma of Financial Planning FNS50611 - Diploma (AQF 5) - Monarch Institute ~ 2016 - Advanced Diploma of Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Monarch Institute ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Daniel Dong-sun Kwak | 2018 | 2016 - Bachelor of Business and Commerce (Economics and Finance) - Bachelor Degree (AQF 7) - Western Sydney University ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Daniel Reg Tracey | 2013 | 2010 - Bachelor of Business (Economics and Regional Development) - Bachelor Degree (AQF 7) - James Cook University ~ 2016 - FNS50615 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Debbie Auduong | 2015 | 1988 - CPA Program Professional Level - Professional Designations - Certified Practicing Accountant ~ 1989 - Bachelor of Economics - Bachelor Degree (AQF 7) - The University of New England ~ 1994 - Graduate Diploma in Financial Management - Graduate Diploma (AQF 8) - University of New England ~ 2015 - FNS50611 Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Frank James Guanco | 2007 | 2008 - Diploma of Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - finsia ~ 2011 - Graduate Certificate in Commerce (Financial Planning) - Graduate Certificate (AQF 8) - University Of Western Sydney |
| Gerard Edward Casim | 2018 | 2015 - Bachelor of Applied Finance with the degree of Bachelor of Economics - Bachelor Degree (AQF 7) - Macquarie University ~ 2018 - FNS50615 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Gordon Michael DE Silva | 2012 | 1992 - Bachelor of Commerce (Honours) - Other - University of Calcutta ~ 1997 - Master of Business Administration - Masters Degree (AQF 9) - Monash University ~ 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2015 - Certified Financial Planner (CFP) - Professional Designations - Financial Advice Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Gregory Gerard Fleming | 2017 | 1988 - Bachelor of Education - Bachelor Degree (AQF 7) - Catholic College of Education Sydney ~ 1990 - Subjects - Accounting&Financial Management 1A & Microecomonics 1 second session & Macroeconomics 1 - Bachelor Degree (AQF 7) - The University of New South Wales ~ 1997 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia Limited ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Economic and Legal Context for Financial Planning and bridging course - Client Engagement Skills - Bridging Course - Regulation & Legal Obligations - Kaplan |
| Harindra Kodikara | 2001 | 2015 - FNS50611 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2019 - FNS60415 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| Harmit Singh | 2013 | 2004 - Bachelor of Mathematics and Finance - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2013 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2013 - FNS60404 Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Harry Atamian | 2003 | 2000 - Bachelor of Finance majors Faculty of Law and Management Economics - Bachelor Degree (AQF 7) - La Trobe University ~ 2005 - Diploma of Financial Services (Financial Planning)(FNS50804) - Diploma (AQF 5) - Tribeca ~ 2006 - Advanced Diploma of Financial Services (Financial Planning)(FNS60404) - Advanced Diploma (AQF 6) - Tribeca ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Hristijan Karevski | 2018 | 2015 - Bachelor of Business - Bachelor Degree (AQF 7) - La Trobe University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jayalatha Chidambara Bharathi | 2015 | 2002 - Degree of Bachelor of Commerce - Other - University of Madras ~ 2012 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2013 - FNS60410 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - Ethics and professionalism in financial advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Joshua Tahoe Carlton Schriver | 2018 | 2017 - Diploma of Financial Planning - - Monarch Institute ~ 2018 - Bachelor of Commerce (Economics & Finance) - - The University of Western Australia |
| Kasra Khalili | 2014 | 2006 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education ~ 2007 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Kazim Akdag | 2018 | 2018 - Bachelor of Business (majoring in Financial Planning) - Bachelor Degree (AQF 7) - La Trobe University |
| Linn David Highman | 2001 | 2007 - Diploma of Financial Services (Financial Planning) (FNS50804) - Diploma (AQF 5) - Kaplan Education |
| Lisa Cave | 2017 | 2013 - FNS50611 Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology ~ 2016 - Advanced Diploma of Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Mentor Education ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Lynne Tan | 2006 | 2001 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2001 - Bachelor of Science - Bachelor Degree (AQF 7) - Deakin University ~ 2006 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2011 - FNS60404 Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Kaplan Professional |
| Manoj Prasad Sharma | 2012 | 2003 - Master of Financial Management - Masters Degree (AQF 9) - Central Queensland University ~ 2004 - Master of Accounting - Masters Degree (AQF 9) - Central Queensland University ~ 2013 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education ~ 2015 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Manuel Oswald | 2010 | 2004 - Bachelor of Arts with Honours - Business Administration with Marketing - - University of Central England in Birmingham ~ 2004 - Bachelor of Business Administration + Associate of Arts Business Communicaton and Public Relations - Other - International Management Institute ~ 2008 - Master of Business Administration Advanced - Masters Degree (AQF 9) - The University of Western Australia ~ 2015 - FNS60410 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2021 - Ethics & Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan Professional |
| Maria Ganakas | 2000 | 1994 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2002 - CFP - - FPA ~ 2002 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA |
| Mark William Mahony | 2008 | 2008 - Bachelor of Applied Finance with the degree of Bachelor of Economics - Bachelor Degree (AQF 7) - Macquarie University ~ 2013 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Masautso Mukokweza | 2013 | 2010 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Notre Dame ~ 2013 - FNS50610 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - FNS60415 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Monika Agrawal | 2009 | 2010 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2010 - FNS60404 Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Noel Hazeldine | 1993 | 2004 - Advanced Diploma of Financial Services (Financial Planning)(FNB60402) - Advanced Diploma (AQF 6) - TRIBECA ~ 2004 - Diploma of Financial Services (Financial Planning)(FNB50802) - Diploma (AQF 5) - TRIBECA |
| Philip Kenneth Elmslie | 2010 | 2008 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2015 - Graduate Diploma in Financial Services - Graduate Diploma (AQF 8) - University of New England ~ 2016 - Master of Financial Services - Masters Degree (AQF 9) - University of New England ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Rajeswari Balaji | 2005 | 2012 - (FNS50804) Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2021 - FNS60415 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education |
| Richa Bhardwaj | 2009 | 2003 - Bachelor of Information Systems - Bachelor Degree (AQF 7) - University of Tasmania ~ 2011 - FNS50804 Diploma of Financial Planning (Financial Services - Diploma (AQF 5) - Kaplan Professional ~ 2012 - FNS60404 Advanced Diploma of Financial Planning (Financial Services) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Robert Moucha | 2011 | 1996 - Bachelor of Economics Faculty of Social Sciences - Bachelor Degree (AQF 7) - LaTrobe University ~ 2002 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2006 - Diploma of Financial Services (Financial Planning)(FNS50804) - Diploma (AQF 5) - Tribeca ~ 2012 - FNS60404 Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional Education |
| Samiul Dishan | 2015 | 2015 - Diploma of Financial Planning FNS50611 - Diploma (AQF 5) - Mentor Education Pty Ltd |
| Saul Illesca | 1997 | 1994 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Deakin University ~ 2001 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Stefan Bowden | 2024 | 2019 - Bachelor of Commerce major in Finance - Bachelor Degree (AQF 7) - Macquarie University ~ 2020 - Diploma of Financial Planning FNS50615 - Diploma (AQF 5) - Monarch Institute ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Stephen Robinson | 2018 | 2014 - Bachelor of Commerce Financial Planning and Finance - Bachelor Degree (AQF 7) - University of Wollongong ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Stephen Walker | 2018 | 2013 - Bachelor of Business majoring in Accounting - Bachelor Degree (AQF 7) - Southern Cross University ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Therese Margaret Pontifex | 2009 | 2008 - Diploma of Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - FINSIA ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - FNS60404 Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Truc Thi Thanh Chung | 2009 | 1995 - Bachelor of Economics - Bachelor Degree (AQF 7) - The University of Western Australia ~ 2003 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2008 - Diploma of Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Education Pty Ltd ~ 2014 - FNS60410 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| Trung Phuong Thao Huynh | 2016 | 2011 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - International Institute Of Technology ~ 2018 - Bachelor of Business and Commerce (Applied Finance) - Bachelor Degree (AQF 7) - Western Sydney University ~ 2019 - Advanced Diploma of Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Mentor education ~ 2019 - Ethics and professionalism in financial advice - Bridging Course - Ethics - Kaplan Professional |
| Ursula Rae Condo | 2006 | 2000 - Advanced Diploma of Business Administration - - West Coast College of Tafe ~ 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca Learning (Aust) Pty Ltd ~ 2005 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional Education ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Education Pty Ltd ~ 2013 - FNS60410 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - Graduate Certificate in Business - - Curtin University of Technology ~ 2020 - Master of Business Administration - Masters Degree (AQF 9) - Curtin University |
| Vinitha Kannan | 2007 | 2006 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education ~ 2010 - Master of Wealth Management - Masters Degree (AQF 9) - Deakin University |