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;
general insurance products;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
deal in a financial product by:
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
general insurance products;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| AN Tran | 2002 | 1995 - Bachelor of Mathematics and Finance - - University of Technology Sydney ~ 2011 - Advanced Diploma of Financial Planning - - Pinnacle Financial Services ~ 2024 - Commercial Law - Other - Kaplan ~ 2024 - Tax For Financial Advising - Other - Kaplan |
| Babette Woodhouse | 2007 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Bharath Iyengar | 1999 | 2002 - Diploma in Financial Planning - Diploma (AQF 5) - Deakin University ~ 2003 - Certified Financial Planner - Professional Designations - Deakin University |
| Cecilia Chow | 1997 | 1984 - Bachelor of Science - Bachelor Degree (AQF 7) - Brigham Young University ~ 1987 - Master of Business Administration - Masters Degree (AQF 9) - Brigham Young University ~ 2001 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA/Deakin University ~ 2002 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) |
| Craig Antoni Gava | 2017 | 2003 - Graduate Diploma of Applied Finance & Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2006 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2017 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Daniel Jason James Page | 2006 | 2007 - Diploma of Financial Planning - Diploma (AQF 5) - PS146 ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - International Institute of Technology |
| Elizabeth Paligora | 2023 | 2011 - Bachelor of Commerce (Finance and Management) - Bachelor Degree (AQF 7) - Deakin University ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Investment Banking Institute ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Griffith University |
| Gina Somers | 2018 | 2015 - Bachelor of Commercer (Financial Planning) - Bachelor Degree (AQF 7) - Griffith University |
| Hilary Jane Anthony-benson | 2013 | 2007 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Newcastle University ~ 2011 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2013 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Ian Malcolm Daubney | 1996 | 1989 - Securities Institute of Australia Certificate - Other - FINSIA ~ 1992 - Bachelor of Business - Bachelor Degree (AQF 7) - Deakin University ~ 1996 - Diploma of Financial Planning - Diploma (AQF 5) - RMIT ~ 1999 - Master of Business Administration - Masters Degree (AQF 9) - Victoria University |
| Jacqueline Thompson Chase | 1998 | 1999 - Diploma of Financial Planning - - Deakin University |
| Jade Recupero | 2005 | 1999 - Bachelor of Arts (Political Science) - Bachelor Degree (AQF 7) - University of Melbourne ~ 2004 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT |
| Jin Wei Shi | 2010 | 1997 - Bachelor of Economics - - Fudan University (China) ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Margin lending - - Kaplan ~ 2012 - CFP Certification Program - - Financial Planning Association ~ 2012 - CFP® Certification Program - - Financial Planning Association |
| John Mulcahy | 1998 | 2001 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA/Deakin University ~ 2005 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA ~ 2010 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Joy Jiasing Chang | 2010 | 2010 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2016 - Certified Financial Planner - Professional Designations - FPA |
| Lily Wiatkowski | 2013 | 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - TAFE ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - University of New South Wales |
| Lisa Godden | 2015 | 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Matthew David Hurd | 2000 | 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University ~ 2019 - 7246AFE/7812GBS/7812AFE Behavioural Finance & Wealth Mgmt - Bridging Course - Behavioural Finance - Griffith University ~ 2019 - 7250AFE/7814AFE Professionalism in Financial Services - Bridging Course - Ethics - Griffith University ~ 2020 - 7159AFE/7823GBS/7823AFE Principles of Business & Corp Law - Bridging Course - Regulation & Legal Obligations - Griffith University |
| Michael Sullivan | 2014 | 2010 - Diploma of Financial Services - Diploma (AQF 5) - Holmes Glen TAFE ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Investment Banking Institute ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Nilam Chhotubhai Damania | 2017 | 2009 - Master of Business in Accounting and Finance - Masters Degree (AQF 9) - University of Technology Sydney ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2018 - SMSF Statement of Attainment - Other - Monarch Institute ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Certified Financial Planner - Other - Financial Planning Association of Australia |
| Penny Davina Collicoat | 2014 | 1998 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2003 - Graduate Diploma of Applied Finance & Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2003 - RG146 Investment Planning 1 - Diploma (AQF 5) - Integratec Training ~ 2010 - RG146 Margin Lending & Geared Investments - Diploma (AQF 5) - Kaplan Australia ~ 2013 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Kaplan Australia |
| Peter Hodgson | 2012 | 2006 - Bachelor of Business Administration and Bachelor of Commerce (Accounting) - - Macquarie University ~ 2011 - Diploma of Financial Services (Financial Planning) - - KAPLAN ~ 2013 - Advanced Diploma of Financial Services (Financial Planning) - - KAPLAN ~ 2018 - Certified Financial Planner - - FPA |
| Philip Thomas Murdock | 2022 | 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Rima Boumadi | 2016 | 1995 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourn ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2015 - Margin Lending - Other - Mentor Education ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education |
| Ronald Reihana Smith | 2007 | 2005 - Bachelor of Commercer (Accounting and Economics) - Bachelor Degree (AQF 7) - Griffith University ~ 2007 - Graduate Diploma of Chartered Accounting - Graduate Diploma (AQF 8) - Institute of Chartered Accountants ~ 2011 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2012 - Certified Financial Planner - Professional Designations - FPA |
| Stephen Philip Harland | 2013 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Integrity ~ 2016 - Tier 1 Margin Lending - Diploma (AQF 5) - Kaplan |
| Timmy Lee | 2008 | 2001 - Bachelor of Commerce - - The University of New South Wales ~ 2008 - Graduate Diploma of Financial Planning - - Finsia ~ 2012 - Tier 2 Compliance Solution - - Kaplan ~ 2016 - CFP Certification - - Financial Planning Association of Australia |
| Titilayo Adetunji | 2007 | 2007 - Advanced Diploma of Accounting - Advanced Diploma (AQF 6) - RMIT University ~ 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2012 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Vikas Pathania | 2006 | 2001 - Bachelor of Business Administration - Bachelor Degree (AQF 7) - Himachal Pradesh University ~ 2003 - Post Graduate Diploma in Business Administration - Masters Degree (AQF 9) - Institute for Technology and Management ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute, Melbourne |
| Wentao Guo | 2016 | 2009 - Master of Commerce (Finance) - - The University of Wollongong ~ 2015 - Life Insurance Adviser (Personal Advice) - - Mentor Education ~ 2015 - Superannuation Adviser (Personal Advice) - - Mentor Education ~ 2018 - Diploma of Financial Planning - - RG146 Training Australia Pty Ltd t/as Mentor Education |
| William Huynh | 2013 | 2009 - Graduate Certificate in Applied Finance - Graduate Certificate (AQF 8) - Kaplan ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2022 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Xiao Yong Chen | 2014 | 2010 - Bachelor of Mathematics and Finance - - University of Technology Sydney (UTS) ~ 2013 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2016 - SuperConcepts & ICFS Specialist SMSF Course - - The University of Adelaide ~ 2018 - Tier 1 Margin Lending - Personal Advice - - Kaplan Professional |