Macquarie Equities Limited

AFS License Number
237504
Name
Macquarie Equities Limited
ABN/ACN/ARBN
41002574923
Licensee issued
March 1, 2004
Address
Sydney, 2000, NSW

Licence conditions

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.

Location

Advisers

Name First provided advice Qualification and trainings
 Adam Halbert 2011 2006 - Diploma of Financial Markets - - FINSIA ~ 2014 - Deposit Products and Non-Cash payments - - Financial Education Professionals
 Adrienne Keaton 2018 2002 - Diploma of Financial Planning - - Financial Planning Association ~ 2008 - CFP Certification - - Financial Planning Association
 Alexander Garuccio 2011 2011 - Bachelor of Commerce - - Deakin University ~ 2012 - ASX Listed Product Adviser - - Kaplan ~ 2014 - Graduate Certificate of Applied Finance - - Kaplan ~ 2019 - Accredited Derivatives Adviser Level 1 and 2 - - Kaplan Professional
 Andrew Carmichael 2015 2013 - Diploma of Financial Panning - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional
 Andrew Cowen 2011 1999 - Bachelor of Business (Accounting) - - Monash University ~ 2008 - Graduate Certificate in Financial Planning - - Finsia ~ 2010 - Master of Applied Finance (Financial Planning) - - Kaplan Professional
 Andrew David Mclean 1991 1985 - Bachelor of Arts (Business Studies) - Bachelor Degree (AQF 7) - Dorset Institute of Higher Education, United Kingdom
 Andrew Mcfarland 2008 2004 - Diploma of Financial Advising - Diploma (AQF 5) - Securities Institute ~ 2016 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Anita Beckers 1996 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan
 Anthony Piers Goyder 2000 1997 - Bachelor of Commerce (Management and Marketing) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2003 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Barnaby Matthews 2022 1995 - Bachelor of Business (Marketing & Finance) - Bachelor Honours Degree (AQF 8) - UTS ~ 2003 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Instritute ~ 2015 - Master in Finance - Other - INSEAD ~ 2019 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Belinda Barr 2016 2004 - Bachelor of Finance - Bachelor Degree (AQF 7) - La Trobe University ~ 2010 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia
 Ben Nguyen 2007 2006 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2009 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia
 Benjamin John Forrester 2009 2011 - Master of Applied Finance (Financial Planning) - Masters Degree (AQF 9) - Kaplan Professionial ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Bradley Hughes 2015 2003 - Bachelor of Business with Credit - - University of Technology, Sydney ~ 2014 - Diploma of Financial Planning - - Kaplan Professional ~ 2015 - Estate Planning - - Kaplan Professional ~ 2015 - Taxation Fundamentals - - Kaplan Professional ~ 2016 - Self-Managed Superannuation Funds - - Kaplan
 Brendan Flanagan 2001 1994 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 1998 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Brigitte Narelle Forbes 2018 2005 - Advance Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca Learning (Aust) ~ 2010 - CFP Certification Program - Professional Designations - Financial Planning Association of Australia ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN Professional
 Cameron Eldridge 2005 2003 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA ~ 2019 - Ethics and Professionalism and Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Campbell Stewart Vidgen 2008 1992 - Bachelor of Business - - University of Queensland ~ 2007 - Master of Business Administration - - Australian Graduate School of Management ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Accredited Derivatives Adviser Level 1 - - Kaplan Professional ~ 2011 - Accredited Derivatives Adviser Level 2 - - Kaplan Professional
 Carrington Blake 2007 2004 - Bachelor of Business - - Southern Cross University ~ 2007 - Diploma of Financial Services (Financial Planning) - - Mentor Education / PS146 Training Australia ~ 2015 - Certified Investment Management Analyst (CIMA) - - IMCA Australia ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional
 Chester Byron Money 2014 2014 - Certificate IV of Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2019 - Graduate Certificate of Finance - Graduate Certificate (AQF 8) - Macquarie University ~ 2022 - Master of Applied Finance - Masters Degree (AQF 9) - Macquarie University
 Clara Jago 1997 1990 - Bachelor of Commerce in Accounting and Finance - - University of New South Wales
 Dale Shanahan 2018 2004 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA ~ 2011 - Master in Applied Finance - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 David Davies 2016 1999 - Bachelor of Arts - - University of Queensland ~ 2017 - Diploma of Financial Planning - - Kaplan
 David Kauler 2001 1995 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2002 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 David Kimberley Venn 1997 1997 - Bachelor of Economics - Bachelor Degree (AQF 7) - Murdoch University ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Murdoch Institute ~ 2014 - Diploma of Financial Planing - Diploma (AQF 5) - Murdoch Institute
 David Raymond Barrett 2018 1995 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 1999 - Graduate Diploma in Applied Finance and Investment - - Securities Institute ~ 2013 - Master of Laws - - The University of Melbourne
 Dean Mole 1998 1998 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2001 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Die Jane HU 2018 2008 - Master of Commerce (Accounting and Finance) - Masters Degree (AQF 9) - University of Sydney ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Giannis Pantelakakis 2010 2001 - Bachelor of Business - Bachelor Degree (AQF 7) - Griffith University ~ 2001 - Bachelor of International Finance - Bachelor Degree (AQF 7) - Griffith University ~ 2009 - CPA Program - Professional Designations - CPA Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Graydon Alexander Hanly 2005 2003 - Bachelor of Commerce (Money and Banking Finance) - Bachelor Degree (AQF 7) - University of Western Australia ~ 2013 - 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
 Heath Mclaren 1999 1995 - Bachelor of Economics - Bachelor Degree (AQF 7) - Macquarie University ~ 1996 - Masters of Economics - Masters Degree (AQF 9) - Macquarie University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional
 Jason Nicholson 1999 2001 - Certified Financial Planning - Professional Designations - Financial Planning Association of Australia ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2004 - Master of Applied Finance - Masters Degree (AQF 9) - Securities Institute ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Joel Wright 2004 2004 - Investment Planning 1 - - Kaplan Professional Education ~ 2006 - Accredited Derivatives Adviser: Level 1 - - Kaplan Professional Education ~ 2010 - Graduate Certificate in Applied Finance - - Kaplan Professional Education ~ 2014 - Accredited Derivatives Adviser Level 2 - - Kaplan Professional Education ~ 2021 - Graduate Diplloma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan
 Joseph George Smith 2018 2008 - Bachelor of Business (Economics and Finance) - - Swinburne University of Technology ~ 2008 - Securities and Derivatives Industry Association Accreditation Program - - Deakin University
 Joshmon Welke 2015 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Charles Sturt University ~ 2022 - Graduate Certificate in Applied Finance - Graduate Certificate (AQF 8) - Kaplan Professional
 Justin David Crawford 2018 2018 - Diploma of Financial Planning - - Financial Education Professionals
 Justin Witherdin 1999 2002 - Bachelor of International Finance - - Griffith University ~ 2015 - Diploma of Financial Markets - - AFMA
 Katherine Marie Calvisi 2018 2016 - Bachelor of Business (Accounting and Finance) - - University of Technology Sydney ~ 2018 - Diploma of Financial Planning - - Kaplan Professional
 Ken LI Khoo 2018 2014 - Master of Business (Banking and Finance) - - Monash University ~ 2015 - Diploma of Financial Planning - - Kaplan Professional
 Lachlan Latham 2013 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2014 - Bachelor of Business Studies - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2019 - Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2021 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional
 Leonie Monique Farmer 2018 2006 - Graduate Diploma of Financial Planning - - Financial Services Institute of Australia ~ 2014 - Certified Financial Planner - - Financial Planning Association of Australia
 Lucette Thompson 2010 1992 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Queensland ~ 2007 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2011 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Lucinda Chan 1998 1992 - Bachelor of Business - - University of Technology, Sydney
 Marc Raymond Whitworth 2012 2009 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Matt Haig 1998 1991 - Bachelor of Economics (Social Sciences) - Bachelor Degree (AQF 7) - University of Sydney ~ 1997 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2002 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 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
 Matthew Gartrell 2007 2008 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Bond University ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Matthew Owen 2011 2013 - Master of Applied Finance (Financial Planning) - Masters Degree (AQF 9) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Matthew Robinson 2016 2015 - Bachelor of Economics (Financial Economics) - Bachelor Degree (AQF 7) - University of Sydney ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional
 Mei Lian Vivien Quay 2018 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Michael Muehlheim 1997 2000 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2002 - Diploma of Financial Planning 1-8 - Advanced Diploma (AQF 6) - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 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 - Graduate Diploma (AQF 8) - Securities Institute ~ 2005 - Master of Professional Accounting - Masters Degree (AQF 9) - University of Southern Queensland ~ 2008 - Graduate Certificate of Financial Planning - Graduate Certificate (AQF 8) - FINSIA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Michael Smith 2012 2007 - Bachelor of Business - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2007 - Bachelor of Laws - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional
 Min Yan 2018 2008 - Master of Accountancy - Masters Degree (AQF 9) - University of Western Sydney ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional
 Nathan Michael Perks 2018 2015 - Bachelor of Arts (Commerce) - Bachelor Degree (AQF 7) - Macquarie University ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional
 Qian Zhou 2024 2022 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan
 Samuel Faulkner Clark 2002 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2005 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia
 Sean Daniel Keady 2005 2005 - Diploma of Leadership and Management - Diploma (AQF 5) - Royal Australian Navy ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional
 Stephen Shostak 2002 2002 - Investment Planning 1 - Other - Integratec
 Suzan Roiboit 2007 1986 - Bachelor of Business Administration - Bachelor Degree (AQF 7) - University of Cincinatti ~ 2007 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2007 - Diploma of Financial Planning - Diploma (AQF 5) - Tribeca ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
 Thomas Grande Telford 2018 2005 - Bachelor of Business Management (International Business) - - University of Queensland ~ 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional
 Tim Bayles 2006 2003 - Bachelor of Commerce - - Deakin University
 William Victor Moloney 2018 2001 - Bachelor of Commerce - - The University of Newcastle ~ 2004 - Diploma of Financial Planning - - Financial Planning Association of Australia Limited