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 |
|---|---|---|
| Alan Michael Giumelli | 1979 | Diploma of Financial Planning - Deakin University |
| Alastair John Duncan Kennedy | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy |
| Alisa Michelle Burns | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Business (International Business) - University of South Australia (UniSA) ~ Bachelor of Commerce - University of South Australia (UniSA) ~ CFP Certification - Financial Advice Association Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan |
| Amanda Sheree Horne | 2006 | ASX Securities - Finsia ~ Advanced Diploma of Financial Services (FP) - Kaplan ~ Bachelor of Commerce - Deakin University ~ SMSF Specialist Adviser - SPAA ~ Self Managed Super Fund Course - The University of Adelaide |
| Andrew John Keay | 2012 | Bachelor of Business - Edith Cowan University ~ Diploma of Financial Services (Financial Planning) - Three Sixty ~ Graduate Diploma in Applied Finance & Investment - Securities Institute ~ Policy Statement 146 Knowledge Assessment - Integratec (Aust) |
| Andrew Michael Hayes | 2004 | Diploma in Applied Finance and Investment - Securities Institute ~ Diploma in Financial Planning - Securities Institute ~ Master of Applied Finance - Macquarie University |
| Anna Maria Garuccio | 1999 | ASX Securities - Kaplan ~ Diploma of Financial Planning - FPA ~ Fellow Charter Financial Practitioner - Mentor Education Group ~ Self Managed Super Fund Course - SPAA |
| Anthea Louise Fordham | 1998 | Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Securities Institute |
| Ashleigh Hopkins | 2018 | Diploma of Financial Planning FNS50615 - Kaplan Professional ~ Graduate Certificate of Financial Planning - Kaplan Professional |
| Benjamin Buchanan | 2012 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Accountancy - University of Dundee ~ Certificate IV in Finance and Mortgage Broking - Kaplan ~ Securities - Kaplan ~ Self Managed Superannuation Funds - Kaplan Professional |
| Berj Totonjian | 2008 | Diploma of Financial Services - Kaplan |
| Brian Christopher Lomas | 1985 | Certified Financial Planner - Deakin University ~ Diploma of Financial Planning - Deakin University ~ Self Managed Superannuation Specialist - Self Managed Super Fund Association |
| Caitlin Marie Telford | 2022 | Business Administration - Finance - University of Arizona ~ Financial Planning - Kaplan ~ Financial Planning - Kaplan |
| Craig William Muchamore | 2010 | CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Kaplan Professional Education ~ Graduate Diploma of Financial Planning - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Dallas Sinclair | 0 | Bachelor of Commerce - Griffith University |
| Daniel Jonathan Degrassi | 2018 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Commerce (Economics & Finance) - University of Sydney ~ Diploma of Financial Services (Financial Planning) - Tribeca (Kaplan Professional) |
| David Michael Novotny | 2005 | ASX Listed Product Adviser - Kaplan ~ Bachelor of Business - RMIT ~ Certificate IV Finance and Mortgage Broking - FINSIA ~ Margin Lending & Geared Investments - Kaplan ~ SMSF Specialist Adviser - SMSF Association |
| Donald Sampson | 2012 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Finance - Adelaide University ~ Certified Financial Planner - FPA ~ Margin Lending - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Elizabeth Caroline Hughes | 2001 | Bachelor of Arts (Psychology) - Macquarie University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University |
| Hamish Colin Pearce | 2007 | Advanced Diploma of Financial Planning FNS60404 - MLC ThreeSixty ~ Bachelor of Commerce - University of Newcastle |
| Harley Joseph Mcdermott | 2022 | Bachelor of Commerce - Deakin University |
| James Farmer | 0 | Business (Financial Planning) - QUT |
| James Richard Randle | 2005 | Bachelor of Arts (Human Geography) / Bachelor of Laws - Macquarie University ~ Diploma of Financial Markets - Securities Institute of Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan |
| John Robert Francis | 1999 | Certified Financial Planner - Deakin University |
| Jonathan Wilkes | 2007 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business - Uni Western Sydney ~ Diploma of Finance & Mortgage Broking - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Joseph James Dougherty | 2007 | ASX Accreditation Derivatives Adviser - Level 2 - Kaplan ~ ASX Accredited Derivatives Adviser - Level 1 - Kaplan ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Commerce - University of Queensland ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Kara Jane Boden | 2018 | Bachelor of Business - University of Technology Sydney ~ Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Master of Business Administration - The University of Western Australia |
| Katie Louise Hodgson | 2016 | Bachelor of Commerce - Deakin University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Larry John Ellis | 1994 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca |
| Lauren Enfield | 0 | Advance Diploma of Financial Services - ThreeSixty ~ Graduate Diploma of Financial Planning - Kaplan |
| Malcolm Bradley Greentree | 2005 | Bachelor of Business (Applied Finance) - University of Western Sydney ~ Certified Financial Planner - Financial Planning Association of Australia Limited |
| Mark Geldens | 1998 | Advanced Diploma of Financial Services - Terra Cordis Pty Limited ~ Bachelor of Business - University of Technology Sydney |
| Mark Paul Schultz | 2008 | Advanced Diploma of Financial Services - Tribeca ~ Bachelor of Business - QUT ~ Certified Financial Planner - Financial Planning Association ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| Martin Morris | 2011 | Advanced Diploma Financial Services (Financial Planning) - International Institute of Technology (IIT) ~ Certified Financial Planner (CFP) - University of Orange Free State (South Africa) ~ Fellow Chartered Financial Practitioner (FChFP) - Association of Financial Advisers (AFA) ~ Margin Lending - International institute of Technology ~ Principles in Self Managed Super Funds - International Institute of Technology (IIT) |
| Marylou Cork | 2011 | Bachelor of Finance - La Trobe University |
| Matthew Rencken | 2018 | Advanced Postgraduate Diploma in Financial Planning - University of the Free State (South Africa) ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics & Professionalism in Financial Advice - Kaplan Professional |
| Michael James Crowe | 2001 | Certified Financial Planner - Financial Planning Association of Australia Limited ~ Diploma of Financial Planning - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending and Geared Investments - Kaplan Professional |
| Michelle Elizabeth Summers | 1996 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Masters of Financial Planning - University of Sunshine Coast ~ SMSF Specialist Advisor (SSA) - SMSF Association |
| Mingyi Zhong | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce - University of Newcastle ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Master of Commerce (Quantitative Finance) - University of Sydney ~ Self Managed Superannuation Funds - Kaplan Professional |
| Naomi Charmaine Alletson | 2002 | Bachelor of Economics - University of New England ~ Diploma of Financial Advising - Securities Institute of Australia ~ Fellow Chartered Financial Practioner - Association of Financial Advisers ~ Margin Lending and Geared Investments - Kaplan Professional |
| Nathaniel Hawkins | 1998 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ Master of Financial Planning - University of Sunshine Coast ~ RG146 Margin Lending - MLC ThreeSixty |
| Nicholas Wong | 2018 | Accredited Listed Products Adviser - Kaplan ~ Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Economics - Sydney University ~ Masters of Tax - Sydney University Law School ~ Tier 1 Margin Lending - Personal Advice - Kaplan |
| Nicolas Fanto | 2008 | Diploma in Financial Services (Financial Planning) - Mentor Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan |
| Paul Joseph Giordano | 2009 | Bachelor of Business (Finance and Advertising & Promotions Management) - University of Technology Sydney ~ Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Limited |
| Pauline Emma Hammer | 1997 | ASX Securities - Finsia ~ Certified Financial Planner - FPA ~ Fellow Charter Financial Practitioner - Campus AFA ~ Self Managed Super Fund Course - SPAA |
| Phillip James Henderson | 2001 | Bachelor of Economics / Arts - Australian National University ~ Graduate Diploma in Financial Management / Business Studies - University of New England |
| Ralph Bryan Taylor | 2011 | Bachelor of Financial Advising - University of Western Sydney ~ Certified Financial Planner (CFP) Program - Financial Planning Association of Australia ~ FNS50804 - Diploma of Financial Services (Financial Planning) - Finsia ~ Master of Commerce (Financial Planning) - University of Western Sydney ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Reece Evans | 2010 | Bachelor of Business (Financial Planning) - RMIT University |
| Robert Scobie | 2011 | Bachelor of Business Management - University of Queensland ~ Professional Diploma in Stockbroking - Deakin University ~ Securities and Managed Investment Accreditation - Deakin Prime and SDIA ~ Superannuation Accreditation - Deakin Prime & SDIA |
| Robert William Berry | 2006 | Bachelor of Accounting and Finance - Southern Cross University ~ Ethics & Professionalism in Financial Advice - Kaplan Professional |
| Rodney Daryl Rose | 1998 | Advanced Diploma Financial Services (Financial Planning) FNB60402 - Kaplan Australia ~ RG146 Provide advice in Margin Lending - MLC ThreeSixty |
| Sarah Lindsay | 2022 | Accounting/Financial Planning - Charles Sturt University |
| Sean Cummins | 2009 | Bachelor of Business (Accounting) - Latrobe University ~ Certified Financial Planner - FPA |
| Sean Patrick Mcgrath | 2004 | Bachelor of Commerce (Economics) - Macquarie University ~ Certified Financial Planner - Financial Planning Association of Australia Limited ~ Graduate Diploma in Applied Finance & Investments - Securities Institute of Australia |
| Shawn David Delaney | 2007 | Bachelor of Business - La Trobe University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Steffen Tjelder | 2018 | Bachelor of Business - Queensland University of Technology ~ Diploma of Financial Planning - Kaplan ~ SMSF Specialist Advisors (SSA) - SMSF Association |
| Stephen Alexander Wilson | 2018 | Bachelors of Business - University of Technology ~ Masters of Financial Planning - Deakin University |
| Thomas Christopher Lennon Gilbert | 2023 | Applied Finance (Financial Planning) - TAFE NSW |
| Troy Scott | 2010 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Bachelor of Business - Southern Cross University ~ Diploma of Financial Services - Kaplan Professional Education ~ Principles of Margin Lending - International Institute of Technology ~ Self Managed Superannuation Funds - International Institute of Technology |
| Vicki Marie Kearney | 2010 | Bachelor of Commerce (Accounting, Financial Planning) - Deakin University |
| Vivienne Jane James | 2004 | Bachelor of Arts (Economics) - University of Canberra ~ Certified Financial Planner - Financial Planning Association of Australia Limited ~ Diploma of Financial Planning (Financial Services) - Deakin University |
| Wenquan Zhang | 2006 | Advanced Diploma of Financial Planning - FINSIA ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Fund - Kaplan Professional Education |