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;
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:
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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Clare Elizabeth Sullivan | 2004 | 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca Learning (Aust) Pty Limited ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Education Pty Limited ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Education Pty Limited ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2024 - Tax for Financial Advising - Other - Kaplan Education Pty Ltd ~ 2025 - Commercial Law - Other - Kaplan Education Pty Ltd |
| David Ronald Noyes | 2002 | 2005 - Diploma in Financial Advising - Diploma (AQF 5) - Securities Institute of Australia ~ 2005 - Self Managed Superannuation Funds - Other - Tribeca Learning (Aust) Pty Limited ~ 2010 - Certificate IV in Financial Services (Finance/Mortgage Broking) - Certificate (AQF 1-4) - Finance & Related Services Training Academy ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Education Pty Limited ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - RG146 Training Australia Pty Ltd ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - Commercial Law - Other - Kaplan Education Pty Ltd ~ 2025 - Tax for Financial Advising - Other - Kaplan Education Pty Ltd |
| Gregory Paul Tindall | 2003 | 2002 - Master of Commerce (Applied Finance) - Masters Degree (AQF 9) - The University of Queensland ~ 2006 - Graduate Diploma of Financial Planning (Historical SIA / FINSIA) - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2007 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2009 - Self Managed Superannuation Funds - Other - Kaplan Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Education Pty Limited ~ 2013 - Cavenish & ICFS Specialist SMSF Course - Other - The University of Adelaide ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Helen Carinus | 2014 | 2009 - Diploma of Financial Servcies (Financial Planning) - Diploma (AQF 5) - Kaplan Education Pty Limited ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Education Pty Limited ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited |
| Jody-ann Alexander | 2022 | 2020 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of the Sunshine Coast ~ 2022 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2024 - SMSF Specialist Adviser - Professional Designations - SMSF Association Limited |
| Katie-louise Frances Alifrangis | 2005 | 2010 - Margin Lending and Geared Investments - Other - Kaplan Education Pty Limited ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan Education Pty Limited ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Ko-chu Penny Chen | 2010 | 1997 - Bachelor of Business (International Business) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 1998 - Master of Business (Professional Accounting) - Masters Degree (AQF 9) - Queensland University of Technology ~ 2005 - CPA Program - Professional Designations - CPA Australia Ltd ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - RG146 Training Australia Pty Ltd ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Education Pty Limited ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - RG146 Training Australia Pty Ltd ~ 2015 - Self Managed Superannuation Funds - Other - RG146 Training Australia Pty Ltd ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - Tax Agent Services Act 2009 (TASA), including the Code of Professional Conduct (Code) - Other - Education IT Solutions Pty Ltd |
| Luke Jarzynski | 1999 | 2004 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia Limited ~ 2009 - Master of Financial Planning - Masters Degree (AQF 9) - University of the Sunshine Coast ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Education Pty Limited ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Education Pty Limited ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2024 - Tax for Financial Advising - Other - Kaplan Education Pty Ltd ~ 2025 - Commercial Law - Other - Kaplan Education Pty Ltd |
| Matthew Brown | 1989 | 2004 - Diploma of Financial Advising - Diploma (AQF 5) - Securities Institute of Australia ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Education Pty Limited ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - Commercial Law - Other - Kaplan Education Pty Ltd ~ 2025 - Tax for Financial Advising - Other - Kaplan Education Pty Ltd |
| Melissa Clare Rawal | 2022 | 2007 - Bachelor of Commerce in Financial Planning and Investments - Bachelor Degree (AQF 7) - Griffith University ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Education Pty Limited ~ 2011 - Self Managed Superannuation Funds - Other - Kaplan Education Pty Limited ~ 2022 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Natalie Gaye Randall | 1998 | 1993 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 1996 - CPA Programme - Professional Designations - CPA Australia ~ 2001 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia Limited ~ 2005 - Self Managed Superannuation Funds Adviser Course - Other - Tribeca Learning (Aust) Pty Limited ~ 2009 - SMSF Adviser Education Program - - Financial Essentials ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Education Pty Limited |
| Natasha Johnson | 2016 | 2013 - Bachelor of Financial Planning / Bachelor of Accounting - Bachelor Degree (AQF 7) - Central Queensland University ~ 2016 - CFP Certification Program - Professional Designations - Financial Advice Association of Australia ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2024 - SMSF Association Specialist Accreditation Program - Other - Self Managed Super Fund Association |
| Preeyesh Rawal | 2006 | 2006 - Bachelor of Commerce in Financial Planning and Investments - Bachelor Degree (AQF 7) - Griffith University ~ 2023 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2025 - TASA 2009 and the Code of Professional Conduct Course - Other - The Tax Institute Higher Education |
| Rebecca Miller | 2011 | 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Education Pty Ltd ~ 2011 - Self Managed Superannuation Funds - Other - Kaplan Edication Pty Ltd ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2025 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited |
| Shane Fisher | 2006 | 2005 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Education Pty Limited ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Education Pty Limited ~ 2011 - Margin Lending and Gearing Investments - Other - Kaplan Education Pty Limited ~ 2014 - Cavendish & ICFS Specialist SMSF Course - Other - The University of Adelaide ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Tzu-hui Yang | 2022 | 2011 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2016 - Graduate Diploma in Business (Applied Finance) - Graduate Diploma (AQF 8) - Queensland University of Technology ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |