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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation; and
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Halbert | 2011 | 2006 - Diploma of Financial Markets - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Alexander Garuccio | 2011 | 2000 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2012 - ASX Accredited Listed Products Adviser (ALPA) Program - Other - Kaplan Higher Education Pty Limited ~ 2012 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2013 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2019 - Accredited Derivatives Adviser Level 1 - Other - Kaplan Higher Education Pty Limited ~ 2019 - Accredited Derivatives Adviser Level 2 - Other - Kaplan Higher Education Pty Limited ~ 2019 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited |
| Andrew Carmichael | 2015 | 2000 - Bachelor of Science - Bachelor Degree (AQF 7) - The University of Leeds ~ 2009 - CFA UK Level 3 Certificate in Investment Management - Other - CFA Society of the UK ~ 2013 - FNS50610 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2013 - Self Managed Super Funds - Other - Kaplan Higher Education Pty Limited ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2016 - DFP5v1 Tax for Financial Advising (Short Answer Exam) - Other - Kaplan Higher Education Pty Limited ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Andrew Cowen | 2011 | 1999 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Monash University ~ 2002 - Professional Year CA Programme - Professional Designations - The Institute of Chartered Accountants in Australia ~ 2008 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Financial Services Institute of Australasia ~ 2010 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2016 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice. - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - FPC007B Client Engagement Skills. - Bridging Course - Behavioural Finance - Kaplan Higher Education |
| Andrew David Mclean | 1991 | 1985 - Bachelor of Arts (Business Studies) - Bachelor Degree (AQF 7) - Dorset Institute of Higher Education ~ 2002 - Investment Planning 1 - Other - Integratec Rading Pty Limited ~ 2002 - Retirement Planning and Principles - Other - Integratec Rading Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd |
| Andrew Mcfarland | 2008 | 2004 - Diploma of Financial Advising - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2016 - Graduate Diploma of Financial Planning. - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - Commercial Law - Other - Kaplan Higher Education Pty Limited |
| Anita Beckers | 1996 | 2004 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2005 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2006 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2006 - FNS60404 Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Anthony Piers Goyder | 2000 | 1997 - Bachelor of Commerce Management and Marketing - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2003 - Graduate Diploma of Applied Finance and Investment (Historical SIA / FINSIA). - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice. - Bridging Course - Ethics - Kaplan Higher Education |
| Barnaby Matthews | 2022 | 1995 - Bachelor of Business (Marketing & Finance) - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2003 - Graduate Diploma of Applied Finance and Investment (Historical SIA / FINSIA) - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2015 - Master in Finance - Other - INSEAD ~ 2019 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2019 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2020 - FMSASICR503 Provide advice in margin lending - Other - Kaplan Higher Education Pty Limited ~ 2025 - Tax for Financial Advising - Other - Kaplan Higher Education Pty Limited |
| Belinda Barr | 2016 | 2004 - Bachelor of Finance (Finance) - Bachelor Degree (AQF 7) - La Trobe University ~ 2008 - Graduate Certificate in Applied Finance and Investment - Graduate Certificate (AQF 8) - FINSIA ~ 2009 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2010 - Investments (General Advice) - Other - Investment Banking Institute ~ 2010 - Master of Applied Finance (Wealth Management) - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2016 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice. - Bridging Course - Ethics - Kaplan Higher Education ~ 2020 - CFP Certification Program - Professional Designations - Financial Advice Association Australia |
| Ben Nguyen | 2007 | 2006 - Bachelor of Business (Financial Planning) with Distinction - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2009 - CFP Certification Program - Professional Designations - Financial Advice Association of Australia Limited |
| Benjamin John Forrester | 2009 | 2006 - Bachelor of Arts (International Relations) - Bachelor Degree (AQF 7) - The Australian National University ~ 2008 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Kaplan Higher Education Pty Limited ~ 2009 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2011 - Masters of Applied Finance (Financial Planning) - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited ~ 2014 - Professional Fixed Income Course - Other - FIIG Securities Limited ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2016 - Juris Doctor - Doctoral Degree (AQF 10) - University of New South Wales ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Bradley Hughes | 2015 | 2003 - Bachelor of Business with Credit - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2014 - FNS50611 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2017 - DFP5v1 Tax for Financial Advising (Short Answer Exam) - Other - Kaplan Higher Education Pty Limited ~ 2017 - TASACLv1 Commercial Law - Other - Kaplan Higher Education Pty Limited ~ 2017 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2018 - Tier 1 Margin Lending - Personal Advice - Other - Kaplan Higher Education Pty Limited ~ 2019 - 2301FN Graduate Certificate in Finance - Graduate Certificate (AQF 8) - Charles Sturt University ~ 2022 - Master of Applied Finance. - Masters Degree (AQF 9) - Charles Sturt University ~ 2024 - FPC002B Ethics and Professionalism in Financial Advice. - Bridging Course - Ethics - Kaplan Higher Education |
| Brendan Flanagan | 2001 | 1994 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 1998 - Graduate Diploma of Applied Finance and Investment (Historical SIA / FINSIA). - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2001 - Master of Business Administration (Executive) - Masters Degree (AQF 9) - University of Queensland ~ 2002 - Graduate Diploma in Financial Planning (Historical SIA / FINSIA). - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2005 - CFP Certification Program - Professional Designations - Financial Planning Association ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2021 - Accredited Aged Care Professional - Other - Aged Care Steps |
| Cameron Eldridge | 2005 | 1997 - Bachelor of Business Studies (Marketing) - Bachelor Degree (AQF 7) - Massey University, New Zealand ~ 2002 - Superannuation and Funds Management - Other - Securities Institute of Australia ~ 2004 - Graduate Diploma of Applied Finance and Investment (Historical SIA / FINSIA). - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2008 - Investment Planning 2 - Other - Kaplan Higher Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2015 - Fixed Income Course - Other - FIIG ~ 2016 - Self Managed Super Funds - Other - Kaplan Higher Education Pty Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Campbell Stewart Vidgen | 2008 | 1993 - Bachelor of Business (Hospitality Management) - Bachelor Degree (AQF 7) - University of Queensland ~ 2004 - Graduate Certificate in Management - Graduate Certificate (AQF 8) - University of New South Wales ~ 2006 - Graduate Diploma in Management - Graduate Diploma (AQF 8) - University of New South Wales ~ 2008 - Master of Business Administration (Executive) - Masters Degree (AQF 9) - University of New South Wales ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2009 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2016 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice. - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - Graduate Diploma of Financial Planning. - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
| Carrington Blake | 2007 | 2004 - Bachelor of Business - Bachelor Degree (AQF 7) - Southern Cross University ~ 2005 - Superannuation and Retirement Planning - Other - Kaplan Higher Education Pty Limited ~ 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education / PS146 Training Australia ~ 2009 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Chester Byron Money | 2014 | 2014 - FNS40811 Cert IV Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Higher Education Pty Limited ~ 2014 - FNS50611 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2015 - Margin Lending Accreditation Program - Other - Deakin Prime / Stockbrokers Association of Australia ~ 2017 - Tier 2 Deposit Products and Non-cash Payment Facilities Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - Graduate Certificate of Finance - Graduate Certificate (AQF 8) - Macquarie University ~ 2022 - Master of Applied Finance - Masters Degree (AQF 9) - Macquarie University ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Clara Jago | 1997 | 1990 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - University of New South Wales ~ 1993 - Certified Practicing Accountants Program - Professional Designations - Certified Public Accountants of Australia Pty Ltd ~ 2001 - Paraplanning Course - Other - Paraplanning Professionals Pty Ltd ~ 2002 - Investment Planning 1 - Other - Integratec Rading Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Courtney Morrow | 2018 | 2014 - FNS50611 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2019 - Margin Lending Accreditation Program - Other - Stockbrokers and Financial Advisers Association ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Dale Shanahan | 2018 | 1999 - Bachelor of Business (Accounting and Taxation Law) - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2004 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited ~ 2005 - Graduate Diploma of Applied Finance and Investment (Historical SIA / FINSIA). - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2017 - Margin Lending - Knowledge and Skills - Other - Kaplan Higher Education Pty Limited ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice. - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2024 - Commercial Law - Other - Kaplan Higher Education Pty Limited |
| David Davies | 2016 | 1999 - Bachelor of Laws Honours Class IIB - Bachelor Degree (AQF 7) - University of Queensland ~ 2016 - Securities and Managed Investments - Other - Kaplan Higher Education Pty Limited ~ 2016 - Superannuation and Retirement Planning - Other - Kaplan Higher Education Pty Limited ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2017 - Insurance and Risk Protection - Other - Kaplan Higher Education Pty Limited ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| David Kauler | 2001 | 1995 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2001 - Financial Advising Essentials - C4 - Other - Securities Institute ~ 2002 - Graduate Diploma in Financial Planning (Historical SIA / FINSIA) - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice. - Bridging Course - Ethics - Kaplan Higher Education |
| David Kimberley Venn | 1997 | 1997 - Bachelor of Economics - Bachelor Degree (AQF 7) - Murdoch University ~ 2002 - Accredited Derivatives Adviser - Level 2 - Other - Australian Stock Exchange Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2014 - Self Managed Superannuation Funds - Other - Monarch Institute ~ 2016 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd |
| Dean Mole | 1998 | 1998 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2001 - Graduate Diploma of Applied Finance and Investment (Historical SIA / FINSIA). - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice. - Bridging Course - Ethics - Kaplan Higher Education |
| Die Jane HU | 2018 | 2008 - Master of Commerce (Accounting and Finance) - Masters Degree (AQF 9) - University of Sydney ~ 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2015 - Client Engagement Strategies - Other - Kaplan Higher Education Pty Limited ~ 2016 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Giannis Pantelakakis | 2010 | 2001 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Griffith University ~ 2001 - Bachelor of International Finance - Bachelor Degree (AQF 7) - Griffith University ~ 2007 - ASX Accredited Derivatives Adviser Level Two Exam - Other - Tribeca ~ 2007 - Securities & Derivatives Industry Associatio (SDIA) Accreditation Program - Other - Deakin University ~ 2010 - CPA Program - Professional Designations - CPA Australia ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2013 - 925 Life Insurance & Skills - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2015 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Graydon Alexander Hanly | 2005 | 2003 - Bachelor of Commerce (Money and Banking Finance) - Bachelor Degree (AQF 7) - The University of Western Australia ~ 2006 - Securities & Derivatives Industry Association (SDIA) Accreditation Program - Other - Deakin University ~ 2007 - Accredited Derivatives Adviser Level 2 - Other - Tribeca ~ 2012 - 924 Superannuation & Skills - Other - Kaplan Higher Education Pty Limited ~ 2013 - 925 Life Insurance & Skills - Other - Kaplan Higher Education Pty Limited ~ 2013 - 926 Financial Planning & Skills - Other - Kaplan Higher Education Pty Limited ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2013 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2022 - Graduate Diploma of Financial Planning. - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Heath Mclaren | 1999 | 1995 - Bachelor of Economics (Financial Studies) - Bachelor Degree (AQF 7) - Macquarie University ~ 1996 - Master of Economics - Masters Degree (AQF 9) - Macquarie University ~ 2003 - Diploma of Financial Planing 8 - Diploma (AQF 5) - Financial Advice Association of Australia Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2020 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education |
| Jason Nicholson | 1999 | 2001 - Certified Financial Planner - Professional Designations - Financial Advice Association Australia ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Advice Association Australia ~ 2002 - Graduate Diploma of Applied Finance and Investment (Historical SIA / FINSIA). - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2004 - Master of Applied Finance and Investment - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Joel Wright | 2004 | 2004 - Generic Knowledge - Other - Kaplan Higher Education Pty Limited ~ 2004 - Investment Planning 1 - Other - Kaplan Higher Education Pty Limited ~ 2006 - ASX Accredited Derivatives Adviser Level One - Other - Kaplan Higher Education Pty Limited ~ 2010 - Graduate Certificate in Applied Finance - Graduate Certificate (AQF 8) - Kaplan Higher Education Pty Limited ~ 2014 - ADA2 Level 2 - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2016 - Foundations of Financial Planning Part B: Financial Planning - Other - Kaplan Higher Education Pty Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2022 - Graduate Diploma of Financial Planning. - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2025 - Commercial Law - Other - Kaplan Higher Education Pty Limited |
| Joseph George Smith | 2018 | 2008 - Bachelor of Business (Economics/Finance and Management) - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2008 - The Securities and Derivatives Industry Association (SDIA) Accreditation Program - Other - Deakin University ~ 2016 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2017 - Tier 1 Generic Knowledge - Other - Kaplan Higher Education Pty Limited ~ 2017 - Tier 1 Margin Lending - Personal Advice - Other - Kaplan Higher Education Pty Limited ~ 2025 - Graduate Diploma of Financial Planning. - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Joshmon Welke | 2015 | 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2017 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Charles Sturt University ~ 2018 - Self Managed Superannuation Funds - Other - Mentor Education ~ 2022 - Graduate Certificate in Applied Finance - Graduate Certificate (AQF 8) - Kaplan Higher Education Pty Limited ~ 2025 - Graduate Diploma of Financial Planning. - Graduate Diploma (AQF 8) - Charles Sturt University |
| Justin Witherdin | 1999 | 2002 - Bachelor of International Finance - Bachelor Degree (AQF 7) - Griffith University ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2015 - Diploma of Financial Markets - Diploma (AQF 5) - Australian Financial Markets Association Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2023 - Tax for Financial Advising - Other - Kaplan Higher Education Pty Limited |
| Katherine Marie Calvisi | 2018 | 2016 - Bachelor of Business with Credit (Accounting and Finance) - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2019 - DFP5v4 Tax for Financial Advising - Other - Kaplan Higher Education Pty Limited ~ 2024 - FPE020 SMSF Regulations and Taxation - Other - Kaplan Higher Education Pty Limited ~ 2025 - Graduate Diploma of Financial Planning. - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Lachlan Latham | 2013 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2014 - 928 Margin Lending - Knowledge and Skills - Other - Kaplan Higher Education Pty Limited ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2014 - Bachelor of Business Studies - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2015 - Cavendish & ICFS Specialist SMSF Course - Other - Cavendish Superannuation Pty Ltd and International Centre for Financial Services / University of Ade ~ 2017 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2021 - Graduate Diploma of Financial Planning. - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Lucette Thompson | 2010 | 1992 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Queensland ~ 2007 - Graduate Diploma of Financial Planning (Historical SIA / FINSIA). - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2008 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2009 - Certified Financial Planner - Professional Designations - Financial Advice Association Australia ~ 2012 - 923 Securities - Other - Kaplan Higher Education Pty Limited ~ 2012 - Margin Lending - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2017 - Accredited Aged Care Professional - Other - Aged Care Steps ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Lucinda Chan | 1998 | 1992 - Bachelor of Business (Business Administration) - Bachelor Degree (AQF 7) - University of Technology, Sydney ~ 2002 - Investment Planning 1 - Other - Integratec ~ 2002 - Retirement Planning and Principles - Other - Integratec ~ 2006 - Risk Management - Other - Tribeca ~ 2008 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2023 - Graduate Diploma of Financial Planning. - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2024 - Tax for Financial Advising - Other - Kaplan Higher Education Pty Limited |
| Marc Raymond Whitworth | 2012 | 2009 - Bachelor of Commerce (Finance and Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2017 - DFP5v3 Tax for Financial Advising - Other - Kaplan Higher Education Pty Limited ~ 2017 - Fellow Chartered Financial Practitioner - Professional Designations - Association of Financial Advisers ~ 2017 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Matt Haig | 1998 | 1991 - Bachelor of Economics (Social Sciences) - Bachelor Degree (AQF 7) - The University of Sydney ~ 1996 - Graduate Diploma of Applied Finance and Investment (Historical SIA / FINSIA). - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2001 - Graduate Diploma of Financial Planning (Historical SIA / FINSIA). - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2007 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Matthew Angelo Tsimos | 2014 | 2011 - Bachelor of Business (Marketing) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology ~ 2017 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2017 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2025 - CFP CERTIFICATION PROGRAM - Professional Designations - Financial Advice Association Australia |
| Matthew Gartrell | 2007 | 2007 - ASX Accredited Derivatives Adviser Level Two Exam - Other - Tribeca Learning (Aust) Pty Limited ~ 2008 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Bond University ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2012 - 924 Superannuation & Skills - Other - Kaplan Higher Education Pty Limited ~ 2012 - Risk Management - Other - Kaplan Higher Education Pty Limited ~ 2013 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2014 - Diploma Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2015 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2015 - Advanced Financial Planning - Other - Kaplan Higher Education Pty Limited ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited |
| Matthew Owen | 2011 | 2013 - Master of Applied Finance (Financial Planning Major). - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited ~ 2014 - 928 Margin Lending - Knowledge and Skills - Other - Kaplan Higher Education Pty Limited ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2016 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice. - Bridging Course - Ethics - Kaplan Higher Education |
| Matthew Robinson | 2016 | 2015 - Bachelor of Economics (Financial Economics) - Bachelor Degree (AQF 7) - The University of Sydney ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Pinnacle Financial Services Academy Pty Ltd ~ 2017 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2018 - Estate Planning - Other - Kaplan Higher Education Pty Limited ~ 2020 - Margin Lending Accreditation - Other - Stockbrokers and Financial Advisers Association Limited ~ 2021 - Graduate Diploma of Financial Planning. - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Michael Muehlheim | 1997 | 2000 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - RMIT University ~ 2002 - Diploma of Financial Planning 1-8 - Diploma (AQF 5) - Financial Advice Association Australia ~ 2006 - CFP Certification - Professional Designations - Financial Advice Association Australia ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Michael Sanderson | 2008 | 1998 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - University of South Australia ~ 2004 - Graduate Diploma of Applied Finance and Investment (Historical SIA / FINSIA) Investment Management - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2005 - Master of Professional Accounting - Masters Degree (AQF 9) - University of Southern Queensland ~ 2008 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - FINSIA ~ 2010 - Margin Lending Accreditation Program - Other - Deakin Prime / Stockbrokers Association of Australia ~ 2010 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2011 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice. - Bridging Course - Ethics - Kaplan Higher Education |
| Michael Smith | 2012 | 2007 - Bachelor of Business/Bachelor of Laws (Majoring in International Business) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2013 - 928S Margin Lending - Other - Kaplan Higher Education Pty Limited ~ 2013 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited |
| Min Yan | 2018 | 2008 - Master of Accountancy - Masters Degree (AQF 9) - Western Sydney University ~ 2018 - FNS50615 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Nathan Michael Perks | 2018 | 2015 - Bachelor of Arts with Bachelor of Commerce - Bachelor Degree (AQF 7) - Macquarie University ~ 2017 - FNS50615 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2018 - DFPv4 Tax for Financial Advising - Other - Kaplan Higher Education Pty Limited ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2023 - Margin Lending Specialist - Other - Kaplan Higher Education Pty Limited |
| Qian Zhou | 2024 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2013 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2016 - Tier 1 Margin Lending - Personal Advice - Other - Kaplan Higher Education Pty Limited ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2023 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd |
| Samuel Faulkner Clark | 2002 | 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Advice Association of Australia Limited ~ 2005 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited ~ 2011 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2012 - Margin Lending - Other - Kaplan Higher Education Pty Limited ~ 2018 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd |
| Sean Daniel Keady | 2005 | 1999 - Diploma of Leadership and Management - Diploma (AQF 5) - The Royal Australian Navy ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2005 - Small Superannuation Funds Accreditation - Professional Designations - Financial Wisdom ~ 2006 - Estate Planning - Other - Tribeca ~ 2006 - Taxation Planning - Other - Tribeca ~ 2007 - Investment Planning 2 - Other - Tribeca ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2020 - Graduate Diploma of Financial Planning. - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Stephen Shostak | 2002 | 2002 - Investment Planning 1 - Other - Integratec Rading Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd ~ 2025 - Commercial Law - Other - Kaplan Higher Education Pty Limited ~ 2025 - Tax for Financial Advising - Other - Kaplan Higher Education Pty Limited |
| Suzan Roiboit | 2007 | 1986 - Bachelor of Business Adminisration (Finance and Marketing majors) - Bachelor Degree (AQF 7) - University of Cincinatti ~ 1989 - Master of Business Administration - Masters Degree (AQF 9) - Schiller International University ~ 2003 - BLW22 Taxation - Other - Curtin University ~ 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2010 - FNS60404 Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Tim Bayles | 2006 | 2003 - Bachelor of Commerce major in Financial Planning (v1) - Bachelor Degree (AQF 7) - Deakin University ~ 2009 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2014 - Tier 2 Deposit Products and non-cash payment products Tier 2 (personal advice) - Other - Financial Education Professionals Pty Ltd |