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;
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:
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;
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 a claims handling and settling service limited to:
the person assists another person to make a claim under an insurance product;
the person makes a recommendation, or states an opinion, in the following circumstances:
the recommendation, or statement of opinion, is made in response to an inquiry by or on behalf of another person about an existing or a potential claim by the other person under an insurance product; and
the recommendation, or statement of opinion, could reasonably be expected to influence a decision whether to continue with the existing claim or to make the potential claim; and
the person represents a person insured under an insurance product in pursuing a claim under the product;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alastair John Duncan Kennedy | 2008 | 2010 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan |
| Alisa Michelle Burns | 2007 | 2006 - Bachelor of Business (International Business) - - University of South Australia (UniSA) ~ 2006 - Bachelor of Commerce - - University of South Australia (UniSA) ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2023 - CFP Certification - Professional Designations - Financial Advice Association Australia |
| Andrew John Keay | 2012 | 1987 - Bachelor of Business - - Edith Cowan University ~ 2002 - Graduate Diploma in Applied Finance & Investment - - Securities Institute ~ 2003 - Diploma of Financial Services (Financial Planning) - - Three Sixty ~ 2003 - Policy Statement 146 Knowledge Assessment - - Integratec (Aust) |
| Andrew Michael Hayes | 2004 | 1999 - Diploma in Applied Finance and Investment - - Securities Institute ~ 2002 - Diploma in Financial Planning - - Securities Institute ~ 2006 - Master of Applied Finance - - Macquarie University |
| Anthea Louise Fordham | 1998 | 2001 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2003 - Certified Financial Planner - - Financial Planning Association of Australia |
| Ashleigh Hopkins | 2018 | 2017 - Diploma of Financial Planning FNS50615 - Diploma (AQF 5) - Kaplan Professional ~ 2020 - Graduate Certificate of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Berj Totonjian | 2008 | 2007 - Diploma of Financial Services - - Kaplan |
| Brian Christopher Lomas | 1985 | 1998 - Certified Financial Planner - - Deakin University ~ 1998 - Diploma of Financial Planning - - Deakin University ~ 2010 - Self Managed Superannuation Specialist - - Self Managed Super Fund Association |
| Daniel Jonathan Degrassi | 2018 | 2003 - Bachelor of Commerce (Economics & Finance) - - University of Sydney ~ 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca (Kaplan Professional) ~ 2014 - Advanced Diploma of Financial Planning - - Mentor Education |
| Elizabeth Caroline Hughes | 2001 | 2002 - Diploma of Financial Planning - - Deakin University ~ 2005 - Bachelor of Arts (Psychology) - - Macquarie University ~ 2016 - Certified Financial Planner - - Financial Planning Association |
| Eva Alene Van Stryker | 0 | 2024 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Swinburne University |
| Hamish Colin Pearce | 2007 | 1994 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 2008 - Advanced Diploma of Financial Planning FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty |
| James Richard Randle | 2005 | 1998 - Diploma of Financial Markets - - Securities Institute of Australia ~ 2000 - Bachelor of Arts (Human Geography) / Bachelor of Laws - - Macquarie University ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan |
| John Robert Francis | 1999 | 2007 - Certified Financial Planner - - Deakin University |
| Jonathan Wilkes | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2014 - Bachelor of Business - - Uni Western Sydney ~ 2016 - Diploma of Finance & Mortgage Broking - - Kaplan Professional |
| Joseph James Dougherty | 2007 | 1999 - Bachelor of Commerce - - University of Queensland ~ 2008 - ASX Accredited Derivatives Adviser - Level 1 - - Kaplan ~ 2009 - ASX Accreditation Derivatives Adviser - Level 2 - - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Katie Louise Hodgson | 2016 | 2006 - Bachelor of Commerce - - Deakin University ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Larry John Ellis | 1994 | 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca |
| Mark Geldens | 1998 | 1991 - Bachelor of Business - - University of Technology Sydney ~ 2004 - Advanced Diploma of Financial Services - - Terra Cordis Pty Limited |
| Mark Paul Schultz | 2008 | 2002 - Bachelor of Business - Bachelor Degree (AQF 7) - QUT ~ 2006 - Advanced Diploma of Financial Services - - Tribeca ~ 2007 - Certified Financial Planner - - Financial Planning Association ~ 2010 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Martin Morris | 2011 | 1996 - Certified Financial Planner (CFP) - - University of Orange Free State (South Africa) ~ 2010 - Advanced Diploma Financial Services (Financial Planning) - - International Institute of Technology (IIT) ~ 2011 - Principles in Self Managed Super Funds - - International Institute of Technology (IIT) ~ 2012 - Fellow Chartered Financial Practitioner (FChFP) - - Association of Financial Advisers (AFA) ~ 2016 - Margin Lending - - International institute of Technology |
| Marylou Cork | 2011 | 2008 - Bachelor of Finance - - La Trobe University |
| Michael James Crowe | 2001 | 2004 - Diploma of Financial Planning - - Deakin University ~ 2006 - Certified Financial Planner - - Financial Planning Association of Australia Limited ~ 2011 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Mingyi Zhong | 2014 | 2008 - Bachelor of Commerce - - University of Newcastle ~ 2009 - Master of Commerce (Quantitative Finance) - - University of Sydney ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2022 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Nicholas Wong | 2018 | 1994 - Masters of Tax - - Sydney University Law School ~ 2003 - Master of Applied Finance and Investments - Masters Degree (AQF 9) - Financial Services Institute of Australasia ~ 2017 - Tier 1 Margin Lending - Personal Advice - Other - Kaplan ~ 2018 - Accredited Listed Products Adviser - Other - Kaplan ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Paul Joseph Giordano | 2009 | 2005 - Bachelor of Business (Finance and Advertising & Promotions Management) - - University of Technology Sydney ~ 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Education Pty Limited |
| Phillip James Henderson | 2001 | 1996 - Bachelor of Economics / Arts - - Australian National University ~ 2000 - Graduate Diploma in Financial Management / Business Studies - - University of New England |
| Ralph Bryan Taylor | 2011 | 2008 - FNS50804 - Diploma of Financial Services (Financial Planning) - - Finsia ~ 2011 - Bachelor of Financial Advising - - University of Western Sydney ~ 2012 - Master of Commerce (Financial Planning) - - University of Western Sydney ~ 2013 - Certified Financial Planner (CFP) Program - - Financial Planning Association of Australia ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Reece Evans | 2010 | 2010 - Bachelor of Business (Financial Planning) - - RMIT University |
| Robert Scobie | 2011 | 2004 - Bachelor of Business Management - - University of Queensland ~ 2011 - Professional Diploma in Stockbroking - - Deakin University ~ 2011 - Securities and Managed Investment Accreditation - - Deakin Prime and SDIA ~ 2011 - Superannuation Accreditation - - Deakin Prime & SDIA |
| Robert William Berry | 2006 | 1994 - Bachelor of Accounting and Finance - - Southern Cross University ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Rodney Daryl Rose | 1998 | 2004 - Advanced Diploma Financial Services (Financial Planning) FNB60402 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2012 - RG146 Provide advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Sarah Lindsay | 2022 | 2018 - Accounting/Financial Planning - Bachelor Degree (AQF 7) - Charles Sturt University |
| Sean Patrick Mcgrath | 2004 | 1995 - Bachelor of Commerce (Economics) - - Macquarie University ~ 1999 - Graduate Diploma in Applied Finance & Investments - - Securities Institute of Australia ~ 2014 - Certified Financial Planner - - Financial Planning Association of Australia Limited |
| Shawn David Delaney | 2007 | 2007 - Bachelor of Business - - La Trobe University ~ 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Steffen Tjelder | 2018 | 1997 - Bachelor of Business - - Queensland University of Technology ~ 2018 - Diploma of Financial Planning - - Kaplan ~ 2021 - SMSF Specialist Advisors (SSA) - Graduate Certificate (AQF 8) - SMSF Association |
| Vicki Marie Kearney | 2010 | 2007 - Bachelor of Commerce (Accounting, Financial Planning) - - Deakin University |
| Wenquan Zhang | 2006 | 2006 - Advanced Diploma of Financial Planning - - FINSIA ~ 2009 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2009 - Self Managed Superannuation Fund - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2019 - Graduate Diploma of Financial Planning - - Kaplan Professional Education |