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 |
---|---|---|
Adam Frost | 2013 | Bachelor of Economics (Economics) - The University of Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FNS50610 Diploma of Financial Planning - Kaplan Professional |
Andrew David Morgan | 2005 | Advanced Diploma Financial Services (Financial Planning) FNS60404 - Kaplan Australia ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma Financial Services (Financial Planning) FNB50802 - Kaplan Australia |
Anthony Sebastian Bonilla | 2008 | Bachelor of Business (Economics & Finance) - University of Western Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
Augusto Hernan Reyes | 2004 | Advance Diploma of Accounting - TAFE ~ Bachelor of Economics - University of Western Sydney ~ CFP Education Program - FPA ~ Diploma of Financial Planning - FPA ~ Ethics and Professionalism in Financial Advice - KAPLAN Professional |
Ben Sgro | 2018 | Bachelor of Business (Economics and Finance) - Royal Melbourne Institute of Technology ~ FNS50615 Diploma of Financial Planning - Diploma of Financial Planning ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Bernard Mark Simlesa | 2018 | Bachelor of Business (International Business) - University of the Sunshine Coast ~ FNS50615 Diploma of Financial Planning - Kaplan Professional |
Bill Patterson | 2010 | Diploma of Financial Services FNS50104 - Finsia ~ FNS50804 Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FNS60410 Advanced Diploma of Financial Planning - Kaplan Professional ~ Graduate Certificate in Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Brandon James Anderson | 2018 | Bachelor of Commerce - Human Resource Management & Financial Planning - University of Wollongong ~ Ethics and Professionalism in Financial Advice - Kaplan |
Cara Ferguson | 2016 | Bachelor of Arts - Diploma of Language - Flinders University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FNS50615 Diploma of Financial Planning - Kaplan Professional ~ FNS60415 Advanced Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
Carol Keller | 2022 | Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Chloe Anne Langdon | 2017 | Advanced Diploma of Financial Planning FNS60415 - Mentor Education ~ FNS50611 Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Christopher Goh | 2023 | Bachelor of Commerce (Accounting and Finance) - Monash University ~ FNS50615 Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
Christopher Leo Kelly | 2005 | Bachelor of Science - University of New South Wales ~ Certificate of Completion Margin Lending and Geared Investments - Kaplan ~ Diploma of Financial Markets 91018 NSW - Securities Institute ~ Diploma of Financial Services (Financial Planning)(FNS50804) - AMP Financial Services ~ Graduate Diploma of Financial Planning - FINSIA |
Cody Nicholas Findlay | 2018 | Bachelor of Applied Finance with the degree of Bachelor of Economics - Macquarie University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ FNS50615 Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
DA Hye Lee | 2017 | Advanced Diploma of Financial Planning FNS60415 - Monarch Institute ~ Bachelor of Applied Finance with the degree of Bachelor of Commerce - Accounting - Macquarie University ~ Diploma of Financial Planning FNS50611 - Monarch Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
Daniel Reg Tracey | 2013 | Bachelor of Business (Economics and Regional Development) - James Cook University ~ FNS50615 Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Debbie Auduong | 2015 | Bachelor of Economics - The University of New England ~ CPA Program Professional Level - Certified Practicing Accountant ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FNS50611 Diploma of Financial Planning - Integrity Education Group ~ Graduate Diploma in Financial Management - University of New England |
Frank James Guanco | 2007 | Diploma of Financial Services (Financial Planning) FNS50804 - finsia ~ Graduate Certificate in Commerce (Financial Planning) - University Of Western Sydney |
Georgina Au-nheu | 1999 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education ~ Bachelor of Arts specialisation Administration & Management & Chinese Languages - Monash University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
Gerard Edward Casim | 2018 | Bachelor of Applied Finance with the degree of Bachelor of Economics - Macquarie University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FNS50615 Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Gordon Michael DE Silva | 2012 | Bachelor of Commerce (Honours) - University of Calcutta ~ Certified Financial Planner (CFP) - Financial Advice Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - FINSIA ~ Master of Business Administration - Monash University |
Gregory Gerard Fleming | 2017 | Bachelor of Education - Catholic College of Education Sydney ~ Diploma of Financial Planning - Financial Planning Association of Australia Limited ~ Economic and Legal Context for Financial Planning and bridging course - Client Engagement Skills - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Subjects - Accounting&Financial Management 1A & Microecomonics 1 second session & Macroeconomics 1 - The University of New South Wales |
Harindra Kodikara | 2001 | FNS50611 Diploma of Financial Planning - Kaplan Professional ~ FNS60415 Advanced Diploma of Financial Planning - Kaplan Professional |
Harmit Singh | 2013 | Bachelor of Mathematics and Finance - University of Technology Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FNS50804 Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FNS60404 Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education |
Harry Atamian | 2003 | Advanced Diploma of Financial Services (Financial Planning)(FNS60404) - Tribeca ~ Bachelor of Finance majors Faculty of Law and Management Economics - La Trobe University ~ Diploma of Financial Services (Financial Planning)(FNS50804) - Tribeca ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
Hristijan Karevski | 2018 | Bachelor of Business - La Trobe University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Jayalatha Chidambara Bharathi | 2015 | Degree of Bachelor of Commerce - University of Madras ~ Ethics and professionalism in financial advice - Kaplan Professional ~ FNS50804 Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FNS60410 Advanced Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
Joshua Tahoe Carlton Schriver | 2018 | Bachelor of Commerce (Economics & Finance) - The University of Western Australia ~ Diploma of Financial Planning - Monarch Institute |
Kasra Khalili | 2014 | Bachelor of Business (Economics and Finance) - Royal Melbourne Institute of Technology ~ FNS50804 Diploma of Financial Services (Financial Planning) - Mentor Education |
Kazim Akdag | 2018 | Bachelor of Business (majoring in Financial Planning) - La Trobe University |
Linn David Highman | 2001 | Diploma of Financial Services (Financial Planning) (FNS50804) - Kaplan Education |
Lisa Cave | 2017 | Advanced Diploma of Financial Planning FNS60415 - Mentor Education ~ FNS50611 Diploma of Financial Planning - International Institute of Technology ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Lorraine Patricia Dunn | 2003 | Advance Certificate in Accounting - Moorabbin College of TAFE ~ CFP Certification Program - Financial Planning Association ~ Diploma of Financial Planning - Deakin University / FPA ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Regulatory Guide 146 Assessment - Kaplan Professional |
Lynne Tan | 2006 | Bachelor of Commerce - Deakin University ~ Bachelor of Science - Deakin University ~ FNS50804 Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FNS60404 Advanced Diploma of Financial Services - Kaplan Professional |
Manoj Prasad Sharma | 2012 | Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Higher Education ~ Master of Accounting - Central Queensland University ~ Master of Financial Management - Central Queensland University |
Maria Ganakas | 2000 | Bachelor of Commerce (Accounting) - University of Western Sydney ~ CFP - FPA ~ Diploma of Financial Planning - FPA |
Mark William Mahony | 2008 | Bachelor of Applied Finance with the degree of Bachelor of Economics - Macquarie University ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Applied Finance - Kaplan |
Masautso Mukokweza | 2013 | Bachelor of Commerce - University of Notre Dame ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FNS50610 Diploma of Financial Planning - Kaplan Professional ~ FNS60415 Advanced Diploma of Financial Planning - Kaplan Professional |
Monika Agrawal | 2009 | FNS50804 Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FNS60404 Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Noel Hazeldine | 1993 | Advanced Diploma of Financial Services (Financial Planning)(FNB60402) - TRIBECA ~ Diploma of Financial Services (Financial Planning)(FNB50802) - TRIBECA |
Philip Kenneth Elmslie | 2010 | Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FNS50804 Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Diploma in Financial Services - University of New England ~ Master of Financial Services - University of New England |
Rajeswari Balaji | 2005 | (FNS50804) Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ FNS60415 Advanced Diploma of Financial Planning - Mentor Education |
Richa Bhardwaj | 2009 | Bachelor of Information Systems - University of Tasmania ~ FNS50804 Diploma of Financial Planning (Financial Services - Kaplan Professional ~ FNS60404 Advanced Diploma of Financial Planning (Financial Services) - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Robert Moucha | 2011 | Bachelor of Economics Faculty of Social Sciences - LaTrobe University ~ Diploma of Financial Services (Financial Planning)(FNS50804) - Tribeca ~ FNS60404 Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Graduate Diploma in Applied Finance and Investment - Securities Institute |
Samiul Dishan | 2015 | Diploma of Financial Planning FNS50611 - Mentor Education Pty Ltd |
Saul Illesca | 1997 | Bachelor of Business (Accounting) - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Financial Planning - Securities Institute |
Stefan Bowden | 0 | Bachelor of Commerce major in Finance - Macquarie University ~ Diploma of Financial Planning FNS50615 - Monarch Institute ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Stephen Robinson | 2018 | Bachelor of Commerce Financial Planning and Finance - University of Wollongong ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
Stephen Walker | 2018 | Bachelor of Business majoring in Accounting - Southern Cross University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
Therese Margaret Pontifex | 2009 | Diploma of Financial Services (Financial Planning) FNS50804 - FINSIA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FNS60404 Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan |
Truc Thi Thanh Chung | 2009 | Bachelor of Economics - The University of Western Australia ~ Diploma of Financial Services (Financial Planning) FNS50804 - Kaplan Education Pty Ltd ~ FNS60410 Advanced Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - Securities Institute |
Ursula Rae Condo | 2006 | Advanced Diploma of Business Administration - West Coast College of Tafe ~ Advanced Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Diploma of Financial Services (Financial Planning) - Tribeca Learning (Aust) Pty Ltd ~ FNS50804 Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ FNS60410 Advanced Diploma of Financial Planning - Kaplan Professional ~ Graduate Certificate in Business - Curtin University of Technology ~ Master of Business Administration - Curtin University |