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 |
|---|---|---|
| Babette Woodhouse | 2007 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Bharath Iyengar | 1999 | Certified Financial Planner - Deakin University ~ Diploma in Financial Planning - Deakin University |
| Cecilia Chow | 1997 | Bachelor of Science - Brigham Young University ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Diploma of Financial Planning - FPA/Deakin University ~ Master of Business Administration - Brigham Young University |
| Craig Antoni Gava | 2017 | Diploma of Financial Planning - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance & Investment - Securities Institute ~ Graduate Diploma of Financial Planning - FINSIA |
| Daniel Jason James Page | 2006 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology ~ Diploma of Financial Planning - PS146 |
| Elizabeth Paligora | 2023 | Bachelor of Commerce (Finance and Management) - Deakin University ~ Diploma of Financial Planning - Investment Banking Institute ~ Graduate Diploma of Financial Planning - Griffith University |
| Gina Somers | 2018 | Bachelor of Commercer (Financial Planning) - Griffith University |
| Hilary Jane Anthony-benson | 2013 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - Newcastle University ~ Certified Financial Planner - Financial Planning Association of Australia |
| Ian Malcolm Daubney | 1996 | Bachelor of Business - Deakin University ~ Diploma of Financial Planning - RMIT ~ Master of Business Administration - Victoria University ~ Securities Institute of Australia Certificate - FINSIA |
| Jacqueline Thompson Chase | 1998 | Diploma of Financial Planning - Deakin University |
| Jade Recupero | 2005 | Bachelor of Arts (Political Science) - University of Melbourne ~ Bachelor of Business (Financial Planning) - RMIT |
| John Mulcahy | 1998 | Bachelor of Commerce - University of Southern Queensland ~ Diploma of Financial Planning - FPA/Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - FINSIA |
| Joy Jiasing Chang | 2010 | Bachelor of Commerce - University of Western Australia ~ Certified Financial Planner - FPA ~ Diploma of Financial Services (Financial Planning) - Kaplan |
| Lily Wiatkowski | 2013 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Services (Financial Planning) - TAFE ~ Master of Financial Planning - University of New South Wales |
| Lisa Godden | 2015 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Master of Financial Planning - Kaplan Professional |
| Michael Sullivan | 2014 | Advanced Diploma of Financial Planning - Investment Banking Institute ~ Diploma of Financial Services - Holmes Glen TAFE ~ Graduate Diploma of Financial Planning - Kaplan |
| Mohammed Jomaa | 2017 | Advanced Diploma of Financial Planning FNS60415 - Monarch Institute ~ Bachelor of Business and Commerce (Applied Finance) - University of Sydney ~ Diploma of Financial Planning FNS50615 - Kaplan Australia ~ RG146 Securities & Managed Investments - Kaplan Australia |
| Nilam Chhotubhai Damania | 2017 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Monarch Institute ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business in Accounting and Finance - University of Technology Sydney ~ SMSF Statement of Attainment - Monarch Institute |
| Peter Hodgson | 2012 | Advanced Diploma of Financial Services (Financial Planning) - KAPLAN ~ Bachelor of Business Administration and Bachelor of Commerce (Accounting) - Macquarie University ~ Certified Financial Planner - FPA ~ Diploma of Financial Services (Financial Planning) - KAPLAN |
| Philip Thomas Murdock | 2022 | Graduate Diploma of Financial Planning - Kaplan |
| Rima Boumadi | 2016 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Commerce - University of Melbourn ~ Diploma of Financial Planning - Mentor Education ~ Margin Lending - Mentor Education |
| Ronald Reihana Smith | 2007 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commercer (Accounting and Economics) - Griffith University ~ Certified Financial Planner - FPA ~ Graduate Diploma of Chartered Accounting - Institute of Chartered Accountants |
| Stephen Philip Harland | 2013 | Advanced Diploma of Financial Planning - Integrity ~ Diploma of Financial Planning - Monarch ~ Tier 1 Margin Lending - Kaplan |
| Timmy Lee | 2008 | Bachelor of Commerce - The University of New South Wales ~ CFP Certification - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Finsia ~ Tier 2 Compliance Solution - Kaplan |
| Titilayo Adetunji | 2007 | Advanced Diploma of Accounting - RMIT University ~ Certificate IV in Finance and Mortgage Broking - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Master of Financial Planning - Griffith University |
| Vikas Pathania | 2006 | Bachelor of Business Administration - Himachal Pradesh University ~ Diploma of Financial Planning - Monarch Institute, Melbourne ~ Post Graduate Diploma in Business Administration - Institute for Technology and Management |
| Wentao Guo | 2016 | Diploma of Financial Planning - RG146 Training Australia Pty Ltd t/as Mentor Education ~ Life Insurance Adviser (Personal Advice) - Mentor Education ~ Master of Commerce (Finance) - The University of Wollongong ~ Superannuation Adviser (Personal Advice) - Mentor Education |
| William Huynh | 2013 | Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Certificate in Applied Finance - Kaplan ~ Masters of Financial Planning - Kaplan |
| Xiao Yong Chen | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Mathematics and Finance - University of Technology Sydney (UTS) ~ Diploma of Financial Planning - Kaplan Professional ~ SuperConcepts & ICFS Specialist SMSF Course - The University of Adelaide ~ Tier 1 Margin Lending - Personal Advice - Kaplan Professional |