This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to wholesale clients only for the following classes of financial products:
non standard margin lending facility; and
deal in a financial product to wholesale clients only by:
issuing, apply for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
non standard margin lending facility; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of financial products:
non standard margin lending facility; and
provide financial product advice to retail and wholesale clients 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;
general insurance products limited to:
consumer credit 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;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products;
miscellaneous financial investment products limited to MDA services;
deal in a financial product to retail and wholesale clients by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
foreign exchange contracts;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
general insurance products limited to:
consumer credit 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;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products;
miscellaneous financial investment products limited to MDA services; and
underwriting to retail and wholesale clients in respect of the following classes of financial products:
interests in managed investment schemes; and
an issue of securities;
make a market for the following financial products in respect of retail and wholesale clients:
foreign exchange contracts;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
limited to financial products other than:
derivatives;
foreign exchange contracts; and
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
provide the following custodial or depository services to retail and wholesale clients:
operate custodial or depository services other than investor directed portfolio services.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Branigan | 2015 | Bachelor of Management - The University of Newcastle ~ Core 1 Securities & Managed Investments Accreditation Program - Stockbrokers Association of Australia |
| Adam Matthew Griffiths | 1998 | Diploma of Financial Markets - Securities Institute Education ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma in Applied Finance and Investment - Securities Institute Education ~ Master of Applied Finance and Investment - Financial Services Institute of Australasia |
| Adriano Pizzingrilli | 2017 | Accredited Derivatives Adviser Level 1 - Kaplan Professional ~ Accredited Derivatives Adviser Level 2 - Kaplan Professional ~ Bachelor of Finance - La Trobe University ~ Diploma of Financial Services - Financial Markets - Australian Financial Markets Association (AFMA) |
| Andrea Mei Ling Bok | 1998 | Bachelor of Commerce - The University of Western Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Investment Planning 1 - Integratec ~ Paraplanning Course - Integratec ~ Retirement Planning and Principles Course - Integratec |
| Andrew Durakovic | 2018 | Accredited Derivatives Adviser Level 2 - Kaplan ~ Core 1 Securities and Managed Investments Accreditation - Stockbrokers Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending Accreditation - Stockbrokers Association of Australia ~ Superannuation Accreditation - Stockbrokers Association of Australia |
| Andrew James Rochester | 1994 | Accredited Derivatives Adviser Level 2 Exam - Australian Stock Exchange ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma in Applied Finance and Investment - Securities Institute Education ~ Managed Investments & Superannuation Module - Securities Institute Education ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia |
| Andrew John Hudson | 2005 | Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance and Investment - Financial Services Institute of Australasia ~ Master of Applied Finance - Kaplan Professional Education ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association |
| Antony Charles Green | 1997 | Bachelor of Commerce - University of Melbourne ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance and Investments - Securities Institute Education ~ Margin Lending & Geared Investments - Kaplan ~ PS146 Compliance Program: Generic Knowledge, Securities & Managed Investments - Kaplan Professional Education |
| Arjang Taylor | 2010 | Accredited Derivatives Adviser Level 2 Exam - Stockbrokers Association of Australia ~ Bachelor of Accounting & Finance - University of Derby ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association |
| Benjamin James Judd Neal | 2018 | Bachelor of Commerce (Finance, Financial Planning) - Griffith University ~ Bachelor of Commerce - Griffith University |
| Bernadette Angela Connolly | 1992 | ASX Accredited Derivatives Adviser Level Two Exam - Tribeca ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Master of Applied Finance - Macquarie University ~ Superannuation - Royal Melbourne Institute of Technology Business TAFE School |
| Blake Sweeny | 2013 | Advanced Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Planning - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education ~ TASA and the TPB Code of Professional Conduct - Kaplan |
| Bruce Lanyon | 1999 | Accredited Derivatives Adviser Level 1 Exam - Kaplan Professional Education ~ Bachelor of Business (Accounting) - Royal Melbourne Institute of Technology University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ General Securities Representative (Series 7) Examination - National Association of Securities Dealers ~ Master of Business Administration - RMIT University |
| Cameron (james) Crawford | 2018 | Bachelor of Arts (History and English) - The University of Sydney ~ Bachelor of Commerce (Marketing) - The University of Sydney ~ Margin Lending Accreditation - Stockbrokers and Financial Advisers Association ~ Master of Applied Finance - Kaplan Professional ~ Tier One - Securities and Managed Investments - General Advice - Kaplan Professional |
| Chad Brendish | 1995 | Accredited Derivatives Adviser Level 2 Exam - Kaplan ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia |
| Charles Henry Nicholas Cropper | 2012 | Bachelor of Commerce (Corporate Finance) - University of Adelaide ~ Core 1: Securities & Managed Investments Accreditation - Stockbrokers Association of Australia ~ Foreign Exchange Accreditation - Stockbrokers Association of Australia ~ Margin Lending Accreditation - Stockbrokers Association of Australia ~ Superannuation Accreditation - Stockbrokers Association of Australia |
| Claire Dickinson | 1994 | Accredited Derivatives Adviser Level 2 Exam - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ General Securities Representative (Series 7) Examination - National Association of Securities Dealers ~ Graduate Diploma in Applied Finance and Investment - Securities Institute Education |
| Clinton Mcbride | 2014 | Accredited Derivative Adviser Level 1 - Kaplan Professional ~ Bachelor of Business (Banking and Finance) - Queensland University of Technology ~ Core 1 Securities & Managed Investments Accreditation Program - Stockbrokers Association of Australia ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Superannutation Accreditation Program - Stockbrokers Association of Australia |
| Clive Ringler | 2001 | Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Master of Commerce (Accounting) - The University of New South Wales ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association ~ Superannuation - Royal Melbourne Institute of Technology Business TAFE School |
| Daniel James Walsh | 2003 | Bachelor of Commerce - University of Southern QLD ~ Diploma in Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| David Burgess | 1998 | Bachelor of Science (Mathematical & Computer Sciences) - University of Adelaide ~ Graduate Diploma of Financial Planning - Securities Institute ~ Margin Lending and Geared Investments - Kaplan Professional |
| David John Cumming | 0 | Bachelor of Commerce (Finance and Management) - The University of Melbourne ~ Core 1 Securities and Managed Investments Accreditation Program - Western Sydney University The College ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending Accreditation Program - Western Sydney University The College ~ Master of Finance - The University of Melbourne |
| David Robinson | 1990 | ASX Broker Exam - Securities Institute Education ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association ~ Superannuation Module - Securities Institute Education |
| Douglas Ferguson | 1985 | Accredited Derivatives Adviser Level 2 Exam - Australian Stock Exchange ~ Bachelor of Commerce - The University of Melbourne ~ Margin Lending Accreditation - Stockbrokers Association of Australia ~ SDIA Accreditation Program - Securities & Derivatives Industry Association ~ Superannuation Module - Royal Melbourne Institute of Technology Business TAFE School |
| Edward Balderstone Ryan | 2009 | Bachelor of Business (Economics and Finance) - Royal Melbourne Institute of Technology ~ Bachelor of Laws - Victoria University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - FINSIA |
| Emma Brickacek | 2008 | Investment Planning 1 - Financial Planning Association ~ Margin Lending and Geared Investments - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional ~ Risk Management - Integratec ~ Taxation Planning - Financial Planning Association |
| Fabiola Gibson | 1999 | Accredited Derivatives Adviser Level 2 Exam - Australian Stock Exchange ~ Ethics and Professinoalism in Financial Advice - Kaplan Professional ~ General Securities Representative (Series 7) Examination - National Association of Securities Dealers ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association ~ Superannuation Module - Securities Institute Education |
| Frank Chapman | 2001 | Ethics and Professionalism in Financial Advice - Kaplan ~ FASEA Exam - Kaplan Professional Education ~ Graduate Certificate in Management - University of Adelaide ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Master of Business Administration - University of Adelaide |
| Garth Yan HU | 2007 | Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Master of Business Administration - Monash University ~ Superannuation Module - Royal Melbourne Institute of Technology Business TAFE School |
| Georg Eric Herda | 1992 | Certificate of Competence: Superannuation & Derivatives - Quantum ~ General Securities Representative (Series 7) Examination - National Association of Securities Dealers ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ SDIA Accreditation Program - Securities & Derivatives Industry Association |
| Harry Randle | 2010 | ASX Accredited Derivatives Adviser Level Two Exam - Kaplan Professional Education ~ Core 1: Securities & Managed Investments Accreditation Program - Stockbrokers Association of Australia ~ Foreign Exchange Accreditation Program - Stockbrokers Association of Australia ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia |
| Hilary Elizabeth Troy | 2011 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Master of Applied Finance - Kaplan Professional |
| Hugh Hagen | 2012 | Accredited Derivatives Adviser Level 2 Exam - Kaplan Professional Education ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association ~ Superannuation Accreditation Program - Stockbrokers Association of Australia |
| Ian Alexander Charles Keys | 2001 | Bachelor of Business - University of Queensland ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma in Applied Finance and Investment - Securities Institute Education ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Master of Commerce - University of Queensland |
| James Anthony Greenrod | 2009 | Diploma of Financial Services (Financial Planning) - Tribeca Learning (Aust) Pty Limited ~ Master of Applied Finance - Macquarie University ~ Self Managed Superannuation Funds - Kaplan |
| James Gosnell | 2004 | Acrredited Derivatives Adviser Level 2 Exam - Kaplan Professional Education ~ General Securities Representative (Series 7) Examination - National Association of Securities Dealers ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia |
| James Paterson | 2002 | Bachelor of Business (Financial Planning) - Royal Melbourne Institute of Technology University ~ Certified Financial Planner Education Program - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Self Managed Superannuation Funds Accreditation - Kaplan Professional Education |
| James Purbrick Fyfe | 2012 | Core 1 Securities & Managed Investments Accreditation - Stockbrokers Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending Accreditation - Stockbrokers Association of Australia |
| James Thomas Byrne | 2017 | Advanced Diploma of Financial Services (Financial Planning) - AMP Financial Planning Pty Ltd ~ Core 1 - Securities and Managed Investments - Stockbrokers and Financial Advisers Association of Australia ~ Diploma of Financial Planning - Kaplan ~ Master of Business Administration - Victoria University ~ Superannuation Accreditation - Kaplan |
| Jared Noel Hoddinott | 2013 | Accredited Derivatives Adviser Level 2 Exam - Kaplan Professional Education ~ Bachelor of Finance - University of Newcastle ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business Administration - Australian Graduate School of Management |
| Jock Grant | 2018 | Bachelor of Business (Finance and Sport Management) - University of Technology Sydney ~ Core 1 - Securities & Managed Investments Accreditation - Stockbrokers and Financial Advisers Association |
| Joseph Lore | 2004 | 924 Superannuation & Skills - Kaplan Professional Education ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association |
| Lisa Houlford | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Business (Accounting) - University of Western Sydney ~ Certified Financial Planner - Financial Planning Association of Australia ~ DPML Margin Lending - Pinnacle Financial Services Academy ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Lucas Joseph Clayton | 2013 | Bachelor of Business (Financial Planning) - RMIT ~ Certified Financial Planner (CFP) - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Self-Managed Superannuation Funds - Kaplan |
| Margaux Dalbis | 0 | Bachelor of Commerce (Finance and Marketing) - The University of Melbourne ~ Core 1 Securities and Managed Investments Accreditation Program - Deakin Prime ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending Accreditation Program - Deakin Prime |
| Mark Bradley | 1992 | Accredited Derivatives Adviser Level 2 Exam - Australian Stock Exchange ~ General Securities Representative (Series 7) Examination - National Association of Securities Dealers ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association ~ Superannuation Module - Securities Institute Education |
| Mark O'sullivan | 2001 | Accredited Derivatives Adviser Level 2 Exam - Kaplan Professional Education ~ Diploma of Financial Services (Financial markets) (FNS51004) - Australian Financial Markets Authority ~ General Securities Representative (Series 7) Examination - National Association of Securities Dealers ~ Graduate Diploma of Applied Finance and Investment - Securities Institute Education ~ SFA Registered Persons Examination - Securities Institute |
| Michael Clayton | 1976 | Master of International Management - Thunderbird School of Global Management |
| Michael Peter Willett | 2017 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Arts - University of Western Australia ~ Diploma of Financial Planning - Monarch Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Michael RE | 2010 | Bachelor of Commerce - The Flinders University of South Australia ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Financial Services Institute of Australasia |
| Miles Geoffrey Granger Mclennan | 2023 | Bachelor of Business (Accounting and Finance) - University of Technology Sydney ~ Core 1 - Securities and Managed Investments Accreditation - Stockbrokers and Financial Advisers Association Limited ~ Graduate Diploma in Financial Planning - University of Technology Sydney ~ Margin Lending Accreditation - Stockbrokers and Financial Advisers Association Limited |
| Nicholas Joseph Batrouney | 1994 | Accredited Derivatives Adviser Level 2 Exam - Kaplan Professional Education ~ Bachelor of Economics - La Trobe University ~ General Securities Representatives (Series 7) Examination - National Association of Securities Dealers ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association ~ Superannuation Module - Royal Melbourne Institute of Technology Business TAFE School |
| Oliver Edward Warne | 2017 | Bachelor of Commerce - Monash University ~ Bachelor of Science - University of Melbourne ~ Diploma of Financial Markets - Australian Financial Markets Association (AFMA) ~ Diploma of Financial Planning - Kaplan Professional |
| Patrick Charles Regan | 2009 | Bachelor of Commerce (Economics and Finance) - The University of New South Wales ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Superannuation RG146 Specialist Knowledge Program - efinancial essentials |
| Paul Kurema | 2003 | Advanced Diploma of Financial Services (Financial Planning) - Deakin Financial Services Pty Limited ~ Bachelor of Commerce - Monash University ~ Certified Financial Planner Certification - Financial Planning Association of Australia ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Self Managed Superannuation Funds Adviser Education Program - Stockbrokers Association of Australia |
| Paul Lyons | 1994 | Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association ~ Superannuation Module - Royal Melbourne Institute of Technology Business TAFE School |
| Peter Charles Seldon | 2001 | ASX Broker Exam - Securities Institute Education ~ Accredited Derivatives Adviser Level 2 Exam - Australian Stock Exchange ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ PS146 Compliance Program: Derivatives, Managed Investments, Generic Knowledge & Securities - Kaplan Professional Education ~ Superannutation Module - Royal Melbourn Institute of Technology Business TAFE School |
| Philip Barry Sharp | 1999 | Bachelor of Commerce - University of Sydney ~ Certified Financial Planner Education Program - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) (FNS50804) - Pinnacle Financial Services Academy ~ Graduate Diploma of Financial Planning - Securities Institute Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Randall Julian Harding | 1986 | Bachelor of Economics - University of Western Australia ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association ~ Superannuation Module - Royal Melbourne Institute of Technology Business TAFE School |
| Richard Knight | 2004 | Accredited Derivatives Adviser Level 1 Exam - Kaplan Professional Education ~ Bachelor of Economics - Monash University ~ Graduate Diploma in Applied Finance and Investment - Securities Institute Education |
| Richard Mead | 1999 | Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association |
| Robert Leo Ackermann | 2018 | Bachelor of Business in Hotel Management - Southern Cross University ~ Graduate Diploma in Applied Finance and Investment - Securities Institute ~ Margin Lending and Geared Investments - Kaplan Professional ~ Master of Commerce in Professional Accounting - The University of New South Wales |
| Sam Chapman | 1989 | ASX Accredited Derivatives Adviser Program - Australian Financial Markets Association ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association ~ Superannuation Module - Securities Institute Education |
| Sam Saunders | 2007 | Bachelor of Commerce - Flinders University of South Australia ~ Graduate Diploma in Applied Finance and Investment - Kaplan ~ Self Managed Superannutation Funds - Kaplan |
| Scarlet Fung | 2000 | Accredited Derivatives Adviser Level Two Exam - Tribeca ~ Bachelor of Social Sciences (Maj. Management Studies / Min. Economics) - University of Hong Kong ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Masters of Applied Finance - Macquarie University |
| Simone Elizabeth Brown | 2018 | Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Susan (su) Cheng | 0 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Timothy Clark | 2022 | Bachelor of Commerce (Corporate Finance) - The University of Adelaide ~ Bachelor of Laws with Honours - The University of Adelaide ~ Graduate Diploma in Legal Practice - The Law Society of South Australia ~ Graduate Diploma of Financial Planning - Kaplan Professional |