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;
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;
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 |
|---|---|---|
| Abeer Mehra | 2018 | 2011 - Bachelor of Commerce (Accounting) - - Macquarie University ~ 2013 - Graduate Diploma of Chartered Accounting - - Chartered Accountants ~ 2017 - SMSF Specialisation Course - - UNSW |
| Adam Robert Barassi | 2016 | 1999 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2016 - ASIC RG146 Self Managed Superannuation Funds - - Financial Education Professionals |
| Alan Ross Spicer | 2016 | 2010 - SMSF Specialist Advisor Accreditation Program - - SMSF Association ~ 2016 - ASIC RG146 Generic Knowledge and Skills - - Financial Planning Association of Australia |
| Amir Ishak | 2018 | 1998 - Bachelor of Commerce (Accounting) - - Ain Shams University ~ 2018 - RG146 - Superannuation and Self Managed Superannuation Funds - - Financial Education Professionals |
| Brett Hansen | 2016 | 2016 - Accountants SMSF Package - - Kaplan |
| Catherine Marie Maguire | 2016 | 2004 - Bachelor of Commerce - - University of South Australia ~ 2013 - Graduate Diploma of Financial Planning - - Kaplan ~ 2014 - SPAA SSA Examination - - The University of Adelaide International Centre For Financial Services |
| Cedomir Mick Jesic | 2018 | 2008 - Bachelor of Business - - University of Technology Sydney ~ 2016 - Self Managed Superannuation Funds - - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan |
| Cherry Dimapilis | 2016 | 2012 - Advanced Diploma Accounting - - TAFE ~ 2013 - Advanced Taxation - - CPA ~ 2014 - Graduate Certificate in Professional Accounting - - The University of New England ~ 2015 - Master of Commerce (Professional Accounting) - - The University of New England |
| Christopher Burge | 2005 | 1998 - Bachelor of Arts - - Macquarie University ~ 1998 - Bachelor of Arts - Bachelor Degree (AQF 7) - Macquarie University ~ 2007 - Graduate Diploma of Financial Planning - - Kaplan ~ 2007 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2013 - AMP & ICFS Specialist SMSF Course - Other - University of Adelaide ~ 2013 - Specialist SMSF Course - - University of Adelaide ~ 2015 - Certified Financial Planner - - Deakin University ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Daniel Robert Uden | 2016 | 2003 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2006 - Chartered Accountant (CA) - Professional Designations - Chartered Accountants Australia & New Zealand (CA ANZ) ~ 2011 - Professional Certificate in Self-Managed - Other - University of Adelaide ~ 2025 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Darren Howard | 1996 | 1987 - Bachelor of Arts (Economics / Economic History) - - University of New South Wales ~ 1987 - Bachelor of Arts - Bachelor Degree (AQF 7) - University of New South Wales ~ 1995 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 1995 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia ~ 2002 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2002 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2013 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association ~ 2013 - SMSF Specialist Advisor - Professional Designations - SMSF Association ~ 2023 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Darren O'brien | 2016 | 1991 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - University of Western Sydney ~ 1994 - Chartered Accountant (CA) - Professional Designations - Chartered Accountants Australia & New Zealand (CA ANZ) ~ 1998 - Master of Taxation - Masters Degree (AQF 9) - University of Sydney ~ 2016 - Self-Managed Superannuation Funds - Other - Pinnacle Financial Services Academy ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Higher Education |
| David James Mcdonald | 2016 | 1999 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2002 - Chartered Accountant (CA) - Professional Designations - Chartered Accountants Australia & New Zealand (CA ANZ) ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2014 - Self-Managed Superannuation Funds - Other - Mentor Education ~ 2025 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Dayuan Wang | 2017 | 2004 - Bachelor of Business - - Victoria University ~ 2016 - Advising in SMSFs - - CPA Australia ~ 2016 - Superannuation - - CPA Australia |
| Debbie Katherine Wessling | 2016 | 1995 - Bachelor of Business - - Central Queensland University ~ 1998 - Certified Practising Accountant - - CPA Australia ~ 2012 - RG146 Financial Service Training Package - - Terra Cordis |
| Felicia Jamieson | 2017 | 1995 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education ~ 2015 - Chartered Accountant (CA) - Professional Designations - Chartered Accountants Australia & New Zealand (CA ANZ) ~ 2016 - Self-Managed Superannuation Funds - Other - Pinnacle Financial Services Academy ~ 2024 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| George Pallikaris | 2017 | 1992 - Bachelor of Economics - - Monash University ~ 1995 - Bachelor of Laws - - The University of Adelaide ~ 2014 - SMSF Specialist Advisor - - Self Managed Super Fund Association ~ 2016 - ASIC RG146 Margin Lending, Managed Investments, Superannuation, Securities and Financial Risk - - Integrity Education Group ~ 2016 - Diploma of Financial Planning - - Integrity Education Group |
| Hayley Jane Matcham | 2017 | 2004 - Bachelor of Business (Accounting & Finance) - - Edith Cowan University ~ 2015 - Professional Certificate in Self Managed Superannuation Funds - - The University of Adelaide ~ 2017 - Diploma of Financial Planning - - Mentor Education |
| Hsing-lung Paul HO | 2018 | 2001 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2004 - Master of Business (Finance) - Masters Degree (AQF 9) - Victoria University ~ 2012 - Certified Practicing Accountant (CPA) - Professional Designations - CPA Australia ~ 2017 - Self-Managed Superannuation Funds - Other - Financial Education Professionals ~ 2022 - Chartered Accountant (CA) - Professional Designations - Chartered Accountants Australia & New Zealand (CA ANZ) ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education |
| Ian Craig Shaw | 2016 | 2016 - ASIC RG146 Generic Knowledge, Skills, Superannuation and Self Managed Superannuation Funds - - Financial Education Professionals |
| Jason John Mcgann | 2016 | 2001 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - Deakin University ~ 2002 - Certified Practicing Accountant (CPA) Australia Program - Professional Designations - CPA Australia ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2014 - Self-Managed Superannuation Funds - Other - Mentor Education ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Jaycen Kyle Wilson | 2018 | 2010 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Southern Cross University ~ 2017 - Chartered Accountant (CA) - Professional Designations - Chartered Accountants Australia & New Zealand (CA ANZ) ~ 2018 - Self-Managed Superannuation Funds - Other - Financial Education Professionals ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Higher Education |
| Jennifer Anne Ward | 2016 | 2007 - Bachelor of Business (Accountancy) - - Queensland University of Technology ~ 2016 - ASIC RG146 Generic Knowledge, Skills, Superannuation and Self Managed Superannuation Funds - - Financial Education Professionals |
| Jodie Thompson | 2016 | 1999 - Bachelor of Business (Accountancy) - - Queensland University of Technology ~ 2004 - Diploma in Financial Services - - Stock Market Investors Group Pty Ltd ~ 2016 - ASIC RG146 Generic Knowledge, Skills, Superannuation and Self Managed Superannuation Funds - - AAMC Training Group |
| Johanna Hopgood | 2018 | 2003 - Bachelor of Arts (International Studies) - Bachelor Degree (AQF 7) - University of South Australia ~ 2003 - Bachelor of Business (International Business) - Bachelor Degree (AQF 7) - University of South Australia ~ 2016 - Financial Services Training Package - Diploma (AQF 5) - Terra Cordis ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - FPC003 Superannuation and Retirement Advice - Other - Kaplan Higher Education ~ 2018 - ATL001 CTA1 Foundations - Other - The Tax Institute ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2022 - Certified Practising Accountant (CPA) - Professional Designations - CPA Australia ~ 2024 - FPC007B Client Engagements Skills - Bridging Course - Behavioural Finance - Kaplan Higher Education ~ 2025 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education |
| Jorge DI Zio | 2016 | 2016 - ASIC RG146 Generic Knowledge, Skills, Superannuation and Self Managed Superannuation Funds - - Pinnacle |
| Jose Dono Burgos | 2018 | 2002 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - Murdoch University ~ 2005 - Certified Practicing Accountant (CPA) Australia Program - Professional Designations - CPA Australia ~ 2018 - Self-Managed Superannuation Funds - Other - Financial Education Professionals ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Joy Ford | 2016 | 2009 - Diploma in Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2019 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology |
| Liam Mark Drady | 2018 | 2010 - Bachelor of Business (Professional Accountancy) - Bachelor Degree (AQF 7) - RMIT University ~ 2012 - Chartered Accountant (CA) - Professional Designations - Chartered Accountants Australia & New Zealand (CA ANZ) ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Self-Managed Superannuation Funds - Other - Kaplan Professional ~ 2025 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Maxine Jeanette Van Scherpenseel | 2016 | 2011 - SMSF Strategies - - SMSF Training ~ 2012 - CA SMSF Specialist Accreditation Course - - UNSW |
| Michelle Chesworth | 2017 | 1995 - Bachelor of Commerce - - The University of Newcastle ~ 2016 - Diploma of Financial Planning - - CPA Australia ~ 2016 - Investments - - CPA Australia ~ 2017 - Self Managed Superannuation Funds - - Financial Education Professionals |
| Nathan Wayne Mclaughlin | 2016 | 2016 - Diploma of Financial Planning - - Monarch Institute |
| Nathaniel Clarence Yoon O'brien-pyke | 2016 | 2010 - Bachelor of Business (Accounting and International Business) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2012 - Chartered Accountant (CA) - Professional Designations - hartered Accountants Australia and New Zealand (CA ANZ) ~ 2016 - Self-Managed Superannuation Funds - Other - Financial Education Professionals ~ 2022 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Higher Education |
| Peter Richard Haigh | 2018 | 2003 - Bachelor of Commerce - - University of Newcastle ~ 2007 - Master of Applied Taxation - - University of NSW ~ 2015 - RG146 Superannuation + Self Managed Superannuation Funds - - Kaplan Professional ~ 2016 - Diploma of Financial Planning - - Kaplan Professional |
| Phillip Michael Brown | 2018 | 2001 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Ballarat ~ 2005 - Certified Practicing Accountant (CPA) - Professional Designations - CPA Australia ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - CPA Australia ~ 2025 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Phyllis Kit YI Tam | 2016 | 1991 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 1997 - Graduate Diploma of Business (Professional Accounting) - Graduate Diploma (AQF 8) - Edith Cowan University ~ 2002 - Certified Practicing Accountants (CPA) Australia Program - Professional Designations - CPA Australia ~ 2002 - Policy Statement 146 - Diploma (AQF 5) - CPA Australia ~ 2016 - Self-Managed Superannuation Funds - Other - AAMC Training Group ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Richard David Bull | 2018 | 2008 - Bachelor of Business - - Southern Cross University ~ 2014 - Diploma of Financial Planning - - AAMC |
| Sarah Penelope Davie | 2016 | 2001 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Monash University ~ 2001 - Bachelor of Communication (Journalism) - Bachelor Degree (AQF 7) - Monash University ~ 2004 - Graduate Diploma (ICAA) - Graduate Diploma (AQF 8) - Institute of Chartered Accountants ~ 2006 - Diploma of Financial Services (Superannuation) - Diploma (AQF 5) - Association of Superannuation Funds of Australia (ASFA) ~ 2007 - Advanced Diploma of Financial Services (Superannuation) - Advanced Diploma (AQF 6) - Association of Superannuation Funds of Australia (ASFA) ~ 2016 - Accountants Essential Advice - Other - Integrity Education Group ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Steve DI Leo | 2016 | 2016 - ASIC RG146 Generic Knowledge, Skills, Superannuation and Self Managed Superannuation Funds - - Pinnacle |
| Thomas Thoma | 2016 | 2016 - ASIC RG146 Generic Knowledge, Skills, Superannuation and Self Managed Superannuation Funds - - Pinnacle |
| Toni Rita Storr | 2017 | 2013 - CA SMSF Specialist - - The Institute of Chartered Accountants in Australia ~ 2015 - Financial Planning - - Kaplan |
| Trang Kieu Nguyen | 2015 | 1998 - Bachelor of Commerce (Accounting and Operations Research) - Bachelor Degree (AQF 7) - University of Sydney ~ 2001 - Certified Practicing Accountants (CPA) Australia Program - Professional Designations - CPA Australia ~ 2005 - Graduate Diploma in Advanced Taxation - Graduate Diploma (AQF 8) - University of New South Wales ~ 2015 - Self-Managed Superannuation Funds - Other - AAMC Training Group ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| YU DU | 2018 | 2010 - Bachelor of Commerce (Accounting) - - Macquarie University ~ 2011 - Master of Commerce - - Macquarie University ~ 2015 - CA Program - - CA ~ 2018 - RG146 - Super, SMSF & Deposit Products Package - - Financial Education Professionals |
| Ying Strube | 2016 | 2005 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2008 - Certified Practising Accountant (CPA) - Professional Designations - CPA Australia ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2024 - SMSF Specialist Advisor - Professional Designations - Self-Managed Super Fund Association ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education |
| Yu-chun LU | 2016 | 2001 - Bachelor of Science - Bachelor Degree (AQF 7) - University of Sydney ~ 2004 - Diploma of eBusiness Support - Diploma (AQF 5) - Spherion ~ 2006 - Certified Practicing Accountants (CPA) Australia Program - Professional Designations - CPA Australia ~ 2007 - Master of Accounting - Masters Degree (AQF 9) - Macquarie University ~ 2015 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - AAMC Training Group ~ 2016 - Self-Managed Superannuation Funds - Other - Financial Education Professionals ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |