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;
life products limited to:
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
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
financial products limited to:
miscellaneous financial investment products 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;
life products limited to:
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;
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services; and
provide traditional trustee company services:
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adrian Dalzotto | 2016 | Bachelor of Financial Advising - University of Western Sydney ~ Certified Financial Planner - FPA ~ Ethics & Professionalism in Financial Advice - Kaplan |
| Alice Jane Edwards | 2018 | Bachelor of Arts - University of Melbourne ~ Certified Financial Analyst - CFA Institute (AIMR) ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma - Securities Institute |
| Andrew James Walsh | 2000 | Bachelor of Commerce - Deakin University ~ CFP Programme - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Master of Business Administration - Deakin University |
| Angus Malcolm John Mann | 2011 | Bachelor of Arts - Sydney University ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Graduate Diploma in Applied Finance & Investment - Securities Institute Australia ~ Level 1& 2 Accredited Derivatives Adviser - ASX ~ Margin Lending and Geared Investments - Kaplan Education Pty Ltd |
| Beni Pietropiccolo | 2010 | Bachelor of Commerce - University of Western Australia ~ Chartered Financial Analyst - CFA Institute |
| Benjamin Batters | 1980 | Bachelor of Arts - Monash University ~ Diploma European Studies - Monash University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma Banking & Finance - Monash University ~ Graduate Diploma of Financial Planning - Kaplan |
| Bradlee Robert Brownbill | 1998 | Bachelor of Business - RMIT ~ CFP Programme - Financial Planning Association ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Chuan Liu | 2023 | Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma - Finance - University of Otago ~ Master of Financial Analysis - La Trobe University |
| Darla Jan Craven | 2018 | Advanced Diploma FP - Kaplan ~ Bachelor of Arts - Arizona State ~ CFP - Financial Planning Association of Australia ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Graduate Diploma in Financial Planning - Kaplan |
| Griffith Edel | 2024 | Bachelor of Commerce - University of Western Australia ~ Graduate Diploma of Financial Planning - Kaplan |
| Jonothan Alexander Wilson Gourlay | 2004 | Bachelor of Arts (Hons) - University of Melbourne ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance - Kaplan ~ Master of Applied Finance - Kaplan |
| Joshua Samuel Davis | 2012 | Bachelor of Business (Economics and Finance) - RMIT ~ CFP - FPA ~ Diploma of Business (Banking and Finance) - RMIT ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance - Kaplan Professional |
| Kane William Bennett | 0 | Bachelor of Business (International Business) - Swinburne University of Technology ~ Master of Financial Planning - Deakin University |
| Lauren Draper | 2024 | Bachelor of Business (Financial Planning) - University of South Australia ~ Core 1 - Securities & Managed Investments Accreditation Program - Kaplan |
| Maria Lui | 2018 | Bachelor of Economics - Monash University ~ Bachelor of Laws - Monash University ~ Directors Course - AICD ~ Master of Laws - Monash University ~ RG 146 Superannuation - Stockbrokers and Financial Advisers Association |
| Michael Downes | 2004 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Arts (Journalism and Public Relations) - Bond University ~ Bachelor of Commerce (Marketing) - Bond University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Nicholas Vlavianos | 2023 | Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Paul Zielke | 2016 | Bachelor of Business - Victoria University ~ CPA Program - CPA Australia ~ Diploma of Financial Planning - Kaplan |
| Peter Thomas Antonie | 1989 | Bachelor of Business - RMIT ~ Ethics and Professionalism in Financial Advice - Kaplan Education Pty Ltd ~ Graduate Diploma - Financial Planning - FINSIA |
| Pierston Hawkins | 2015 | Bachelor Of Business - Swinburne University ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma (ICAA) - Institute of Chartered Accountants |
| Ralf Haase | 2005 | Accredited Derivatives Adviser (Level I & II) - Kaplan ~ Advanced Diploma of Financial Services - Kaplan ~ Bachelor in Business Management - European Business School ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Margin Lending and Geared Investments - Kaplan |
| Tanya Vanderpoel | 2011 | Bachelor of Business - Latrobe University ~ Graduate Diploma of Financial Planning - Kaplan ~ Professionalism & Ethics in Financial Advice - Kaplan |