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;
derivatives;
foreign exchange contracts;
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
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives; and
interests in managed investment schemes limited to:
MDA services; and
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;
derivatives;
foreign exchange contracts;
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 |
|---|---|---|
| Alexander Michael Madgwick | 2003 | 2003 - Diploma of Financial Planning - - Deakin University ~ 2009 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2016 - Life Risk Specialist - Professional Designations - Financial Advice Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University |
| Andreas Barnes Lyndon | 2023 | 2020 - Bachelor of Commerce with the Degree of Bachelor of Science - Bachelor Degree (AQF 7) - Macquarie University ~ 2022 - Margin Lending Knowledge - Other - Monarch Institute ~ 2022 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Ltd ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Ltd |
| Andrew Eric Marchant | 2018 | 1997 - Bachelor of Commerce (major accounting and finance) - - University of Newcastle ~ 2002 - Graduate Diploma in Applied Finance and Investment - - Securities Institute of Australia ~ 2003 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Andrew Ross Jenkins | 2000 | 1983 - Bachelor of Economics - - University of Adelaide ~ 1992 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute Australia ~ 2003 - Certified Financial Planner Education Program - Professional Designations - Financial Advice Association of Australia Limited |
| Angus Charles Warden | 2002 | 1997 - Bachelor of Agricultural Economics - - University of Sydney ~ 2001 - Graduate Diploma in Applied Finance and Investment - - FINSIA ~ 2005 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2008 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2011 - Self Managed Super Fund Specialist Adviser - - SMSF Professionals' Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Anh Stelfox | 2003 | 2000 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Macquarie University ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2012 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Annabelle Lesley Forsyth | 2018 | 1990 - Bachelor of Science - - The University of New South Wales ~ 2011 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Benjamin David Smythe | 1994 | 1997 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of New South Wales ~ 1999 - Master of Commerce - Masters Degree (AQF 9) - University of New South Wales ~ 2008 - SMSF Specialist Advisor Program - Professional Designations - SMSF Association Ltd ~ 2011 - Graduate Dilploma Taxation and Financial Planning - Graduate Diploma (AQF 8) - University of New South Wales ~ 2014 - Diploma of Financial Planning - - Monarch Institute ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Bernard Charles Perkins | 2009 | 1997 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology, Sydney ~ 2002 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Financial Services Institute of Australasia ~ 2004 - Diploma of Financial Services - Diploma (AQF 5) - Australian Financial Markets Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Cathryn Dorothy Gross | 2015 | 1997 - Bachelor of Science/Bachelor of Economics - Bachelor Degree (AQF 7) - The Australian National University ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Craig Benham | 2000 | 1991 - Bachelor of Arts (Economics), Graduate Diploma in Business Studies - - University of New England ~ 1994 - Graduate Diploma in Applied Finance and Investment - - Securities Institute of Australia ~ 1996 - Diploma of Financial Planning - - RMIT University ~ 2000 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited ~ 2009 - SMSF Specialist Advisor - Professional Designations - SMSF Association Ltd |
| Danielle Stephanie Pearse | 0 | 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Diana Gowdie | 2006 | 2003 - Bachelor of Economics - Bachelor Degree (AQF 7) - The University of Sydney ~ 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2011 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Harley Joseph Mcdermott | 2022 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University |
| Hwee Pheng Siah | 2003 | 1988 - Bachelor of Engineering (Civil) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 1995 - Masters of Business Administration (Technology Management) - Masters Degree (AQF 9) - Deakin University ~ 1998 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Advice Association of Australia Limited |
| Jane Hopkins | 2018 | 2005 - Bachelor of Tourism - - University of Canberra ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2023 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited |
| Jane Katherine Walters | 0 | 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Jenny Wong | 2009 | 1996 - Bachelor of Commerce Major in Accounting and Finance - Bachelor Degree (AQF 7) - University of New South Wales ~ 2001 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Advice Association of Australia Limited ~ 2005 - Self Managed Superannuation Fund - Other - Kaplan Higher Education Pty Limited ~ 2009 - SDIA Derivatives Accreditation Program - Other - Securities & Derivatives Industry Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2021 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited |
| Joanne Vanessa Mckay | 1998 | 1997 - Certificate in Financial Markets - - FINSIA ~ 1998 - Diploma in Financial Markets - - FINSIA ~ 2002 - Diploma in Financial Planning - - Deakin University |
| Josef Coates | 0 | 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Justin Brand | 2011 | 1992 - Bachelor of Business - - QUT ~ 2007 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy |
| Katie Louise Manning Gaunt | 2010 | 2003 - Bachelor of Management (Marketing) - Bachelor Degree (AQF 7) - University of South Australia ~ 2013 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2023 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited ~ 2024 - Accredited Aged Care Professional - Other - Aged Care Steps Pty Ltd |
| Lucinda Maree Mulligan | 2009 | 2007 - Bachelor of Agribusiness - Bachelor Degree (AQF 7) - University of New England ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - ThreeSixty ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Mark Rodney Minchin | 2004 | 1996 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2000 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Securities Institute Australia ~ 2003 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2003 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Michael Forer | 2004 | 1996 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2001 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Insitute Australia ~ 2010 - Margin Lending and Geared Investments - - Pinnacle Financial Services ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2013 - ASX Accredited Listed Products Adviser - Other - Kaplan Higher Education Pty Limited ~ 2017 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Nataliya Dikovskaya | 2010 | 2009 - Graduate Diploma of Applied Finance (Financial Planning) - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2010 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited ~ 2013 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited ~ 2014 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2017 - SMSF Specialist Advisor Program - Professional Designations - SMSF Association Ltd ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Simon Forer | 2004 | 1994 - Bachelor of Business - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 1998 - Graduate Diploma of Applied Finance - - Securities Institute of Australia ~ 1998 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Sonia Kay Hawley | 2003 | 1994 - Bachelor of Economics - Bachelor Degree (AQF 7) - Macquarie University ~ 1996 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Advice Association of Australia ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2023 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited |
| Thomas Jeffries | 2011 | 2005 - Bachelor of Commerce - - University of South Australia ~ 2009 - Graduate Diploma of Applied Finance - - FINSIA ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2017 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Wing Chi Leung | 2003 | 1998 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2001 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute Australia ~ 2019 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |