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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
general 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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility;
superannuation;
Australian carbon credit units; and
eligible international emissions units;
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:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
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; and
standard margin lending facility;
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product in respect of the following classes of financial products:
general insurance products;
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;
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;
superannuation;
Australian carbon credit units; and
eligible international emissions units; and
underwriting:
interests in managed investment schemes; and
an issue of securities;
make a market for the following financial products:
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;
Australian carbon credit units;
eligible international emissions units; 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:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
Name | First provided advice | Qualification and trainings |
---|---|---|
Alexandria Maria Foran | 2016 | Bachelor of Agribusiness - University of Queensland ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Alun Campbell | 2014 | Bachelor of Commerce - University of Canterbury - Christchurch, New Zealand ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Business - University of Otago - Dunedin, New Zealand |
Amela Halilovic | 2016 | Bachelor of Commerce (Finance, Financial Planning) - Deakin University |
Andrea Leigh Stockdale | 0 | Bachelor of Business - Edith Cowan University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Andrew David Edwards | 2008 | Bachelor of Business (Mangement) - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Diploma of Financial Markets - AFMA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - FINSIA |
Andrew Hamilton Mckissock | 2004 | Bachelor of Arts majoring in Marketing & Economics - University of Paisley ~ Diploma in Financial Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Business Administration - Macquarie Universiry ~ Post Graduate Diploma Business Information Technology - University of Paisley |
Anna Louise Mcdonald | 2015 | Bachelor of Business - Royal Melbourne Institute of Technology ~ Company Director Certificate - Australian Institute of Company Directors ~ Diploma of Financial Markets Association - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Apostolos Stoikos | 2002 | Bachelor Degree - Economics and Political Science - Wollongong University |
Benjamin Scotta | 2016 | Bachelor of Accounting - La Trobe University ~ Bachelor of Finance - La Trobe University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Mentor Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
Carol Ann O'brien | 2011 | BSc Finance - University College Cork, Ireland ~ Diploma of Financial Services(Financial Markets) - Australian Financial Markets Association |
Casey Rock | 2013 | Bachelor of Arts, Political Science and International Relations - University of Queensland ~ Bachelor of Business, Banking and Finance - Queensland University of Technology ~ Diploma of Financial Markets - Australian Financial Markets Association |
Charles John Randles | 2014 | Bachelor of Commerce - Monash University ~ Diploma of Financial Markets - AFMA ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Cheng-yung YU | 2018 | Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Business Administration - Soochow University, Taiwan |
Cheyne Gates | 2010 | Bachelor of Economics - University of Adelaide ~ Bachelor of Finance - University of Adelaide ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ The Diploma of Financial Services (Financial Markets) - Australian Financial Markets Asscociation |
Chris Reedman | 2009 | AFMA - Diploma Of Financial Markets - AFMA |
Christopher Paul O'brien | 2008 | Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Applied Finance (Financial Markets) - Kaplan Professional |
Daniel Alan Farrell | 2017 | Bachelor of Agricultural Economics - The University of Sydney ~ Diploma of Financial Services - Debt Markets - Australian Financial Markets Association ~ Diploma of Financial Services - FX Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Daniel James Turner | 2017 | Bachelor of Commerce - University of Wollongong ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Daniel W Norman | 2014 | Diploma - Financial Services - AFMA |
Darin James Cook | 2003 | Bachelor Degree - Commerce - University of Queensland ~ CPA Program - CPA Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional |
David Bul Bior | 2014 | Bachelor of Commerce - Griffith University ~ Diploma - Financial Services - AFMA ~ Graduate Diploma of Financial Planning - Kaplan Professional |
David Macedone | 2018 | Bachelor of Economics - The University of Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia |
David William Giovanelli | 2009 | Bachelor of Arts - Macquarie University ~ Bachelor of Laws - Macquarie University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia |
Eleftherios John Kappadais | 2005 | Bachelor Degree - Business & Economics & Finance - Royal Melbourne Institute of Technology ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Emma Rochelle Brown | 2018 | Bachelor of Applied Finance - Macquarie University ~ Bachelor of Commerce (Accounting) - Macquarie University ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Ethan Marsters | 2018 | Bachelor of Arts (Politics) - Monash University ~ Bachelor of Business (Banking and Finance) - Monash University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Gena Nakhla | 2018 | Bachelor of Business (Accounting) - Victoria University ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Hayley Alana Dodd | 2022 | Graduate Diploma of Financial Planning - Deakin University |
Jacob Tomas Cheverly | 2018 | Bachelor of Commerce - Accounting & Financial Planning - Deakin University ~ Diploma of Financial Planning - Mentor Education ~ Masters of Banking and Finance - Monash University |
James Thomas Sheehan | 2009 | Bachelor of Arts - La Trobe University ~ Diploma of Financial Services - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Jarryd Callen Freeman | 2014 | Bachelor of Commerce - University of Melbourne ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Jason Gorman | 2017 | Bachelor of Business - La Trobe University ~ Diploma of Financial Markets - AFMA ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Jeremy Richard White | 2009 | Bachelor of Business - Marcus Oldham College ~ Diploma of Financial Markets - AFMA ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Jing Jing Zhang | 2015 | Bachelor of Commerce - The University of Sydney ~ Bachelor of Laws - The University of Sydney ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Jonathan Buckle | 2012 | AFMA - Diploma of Financial Markets - AFMA ~ Bachelor Degree (Hons) - Business - Bournemouth University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Jonathan David Cross | 2010 | AFMA - AFMA ~ Bachelor Degree - Economics - University of Western Australia |
Jun Guo | 2008 | Bachelor of Business and Commerce - Royal Melbourne Institute of Technology ~ Diploma of Financial Markets - AFMA ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Commerce - The University of New South Wales ~ Master of Commerce - University of New Sales Wales |
Justin Daffy | 1997 | Bachelor of Economics - La Trobe University ~ Diploma of Financial Markets - AFMA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia |
Justin James Green | 2004 | Bachelor Degree - Economics - University of Sydney ~ Diploma - Financial Planning - AFMA ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Masters Degree - Commerce - Charles Sturt University |
Kaine Perry | 2007 | Bachelor Degree (Hons) - Finance - La Trobe University ~ Diploma - Financial Services (Financial Markets) - AFMA |
Karen Gauci | 2018 | Bachelor of Arts - The University of Melbourne ~ Bachelor of Science - The University of Melbourne ~ Diploma of Business (Banking and Finance) - RMIT University ~ Diploma of Financial Services - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Keira Elizabeth Tunnah | 2017 | Bachelor of Business - Queensland University of Technology ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Kylie Edwards | 2018 | Bachelor of Commerce & Administration - Victoria University Wellington (NZ) ~ Diploma of Financial Markets (Debt Markets) - Australian Financial Markets Association ~ Diploma of Financial Markets (Foreign Exchange) - Australian Financial Markets Association |
Kylie Jane Steene | 2001 | Diploma - Business (Banking and Finance) - Adelaide Institute of TAFE |
Kymberlee Louise Condron | 2015 | Bachelor of Commerce - Deakin University, Burwood ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Laurie Scholes-robertson | 2018 | Bachelor of Business (Accounting) - Royal Melbourne Institute of Technology City Campus ~ Graduate Diploma in Finance - University of Melbourne ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Commerce (Finance) - University of Melbourne |
Leigh Harink | 2018 | Bachelor of Business - RMIT University ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Commerce - Deakin University ~ Master of Professional Accounting - Deakin University |
Liam Michael Williams | 2016 | Advanced Diploma of Business - RMIT University ~ Bachelor of Business - RMIT University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Lucas Vaughan | 2011 | Bachelor of Business (Economics and Finance) - RMIT University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Finance - RMIT University |
Lukasz Morawski | 2008 | Bachelor of Commerce (Finance and Commercial Law) - Deakin University ~ Diploma of Financial Services - Financial Markets - AFMA |
Luke Justin Walker | 2012 | Bachelor of Commerce (Corporate Finance) - The University of Adelaide ~ Bachelor of Finance - The University of Adelaide ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia |
Luke Shi Chuen Goy | 2022 | Bachelor of Commerce (Financial Planning) - Deakin Univesity ~ Diploma of Financial Markets - AFMA |
Mathew Hosking | 2011 | Diploma - Financial Services - AFMA |
Matthew Joshua Whitlock | 2018 | Bachelor Business - Ag Commerce - University of Sydney ~ Diploma of Financial Services (Financial Markets) - Australian Financial Markets Association |
Matthew Stephen George | 2021 | Bachelor of Business (Accountancy, Financial Planning) - Royal Melbourne Institute of Technology ~ Diploma of Financial Markets - Australian Financial Markets Association (AFMA) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
Matthew William Luckley | 2011 | AFMA - Dealer accreditation - AFMA |
Mia Yan | 2015 | Master of Commerce (Advanced) - The University of Queensland |
Michael John Sutherland | 2003 | Diploma of Financial Markets (Debt Markets and Derivatives) - AFMA ~ Diploma of Financial Markets (Derivatives, Foreign Exchange and Financial Markets) - AFMA ~ Diploma of Financial Markets (Equity Market Advising) - AFMA ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
Natalie Methven | 2011 | Diploma - FINANCIAL SERVICES - AFMA |
Nicole Kate Killey | 2004 | Bachelor of Commerce - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Nicole Looi | 2015 | Bachelor of Commerce - The University of Melbourne ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Nicolette Mia DE Sanctis | 2018 | Bachelor of Commerce (Finance Major) - Deakin University ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Olivia Core | 2018 | Bachelor of Commerce - The University of Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia |
Paul Christopher Burns | 2010 | Diploma - Financial Planning - AFMA ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Paul Clinton Foley | 2018 | Bachelor of Commerce - Curtin University of Technology ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia |
Peter Hodges | 2017 | Bachelor of Business - Monash University ~ Diploma of Financial Markets - Australian Fianancial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Phillip Lawford | 2008 | Bachelor Degree - Finance - Latrobe University ~ Diploma - Financial Services (Financial Markets) - AFMA ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Richard Copper | 1996 | Bachelor Degree - Economics and Politics - University College of Wales |
Rut Jan Van Henten | 2014 | Graduate Diploma of Financial Planning - Kaplan Professional |
Samuel Mario Minaudo | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Accounting and Finance) - La Trobe University Australia ~ Diploma of Financial Markets - Australian Financial Markets Association (AFMA) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
Sarah Jean Lauridsen | 1998 | Bachelor of Commerce - University of South Australia ~ Certificate in Financial Markets - Securities Institute of Australia ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Scott Bailey | 2005 | Diploma of Financial Services - AFMA ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Scott Hubert Gladman | 1999 | Bachelor Degree - Business - Curtin University ~ Bachelor of Business (Agribusiness) - Curtin University ~ Company Directors Course - Australian Institute of Company Directors ~ Diploma - Financial Planning - AFMA ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Registered Wheat Futures Brokers Course - Sydney Futures Exchange |
Sean O'neil | 2018 | Bachelor of Agricultural Science - University of Sydney ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Diploma of Financial Planning, RG146 Core Modules - Kaplan ~ Graduate Diploma of Financial Markets - Securities Institute of Australia ~ Masters of Applied Finance - Macquarie University |
Shahrul Azmir HJ Shahriman | 2017 | Bachelor of Accounting (Hons.) - University Tenaga Nasional (UNITEN) Malaysia ~ Diploma of Financial Services (Financial Markets) - Australian Financial Markets Association ~ Financial Planning Policy Compliance 146 (PS/RG 146) - Finsia ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Business Administration (International Business) - Edith Cowan University |
Stuart Anthony Dalton | 2008 | Bachelor of Business (Banking and Finance) - Monash University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Applied Finance - Monash University |
Tansyn Press-andrew | 0 | Bachelor of Business (Management) - Queensland University of Technology ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Thomas John Simpson | 2018 | Bachelor of Commerce - University of New England ~ Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Thomas Josey | 2009 | Bachelor of Business (Banking and Finance) - Queensland University of Technology ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Timothy Edmund Charles Waters | 2018 | AFMA Dealer Accreditation Program - Australian Financial Markets Association ~ Bachelor of Commerce - University of Melbourne ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Tom Llewellyn Sutton | 2004 | AFMA Dealer Accreditation Program - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Toni Michelle Bainbrigge | 2017 | Diploma of Financial Markets - Australian Financial Markets Association ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Tony William Prove | 2010 | Bachelor of Business (Banking and Finance) - Queensland University of Technology ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Tracy Ann Ferguson | 2018 | Diploma Financial Markets - Australian Financial Markets Association |
Troy Furlong | 2018 | Diploma of Financial Markets - Australian Financial Markets Association |
Wayde Keyser | 2018 | Bachelor Degree - Commerce - Curtin University ~ Diploma - Financial Services - AFMA ~ Ethics and Professionalism in Financial Advicen - Kaplan Profesional ~ Graduate Diploma in Applied Finance and Investment - FINSIA |
William John Mcconnell | 2017 | Bachelor of Business (Financial Management) - La Trobe University ~ Diploma of Financial Markets (Debt Markets) - AFMA ~ Diploma of Financial Markets (Foreign Exchange) - AFMA ~ Graduate Diploma of Financial Planning - Kaplan Professional |