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;
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:
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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aakash Harshad Mehta | 2023 | Graduate Diploma of Financial Planning - Deakin University ~ Master of Business Administration (International)/Master of International Finance - Deakin University |
| Adam John Davenport | 1998 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Self Managed Superannuation Funds - Kaplan |
| Agnieszka Anna Oudendijk | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Services (Financial Planning) - FINSIA ~ Self-Managed Superannuation Funds - Kaplan |
| Andrew Goh | 2012 | Bachelor of Commerce - Deakin University |
| Anna Therese Fogarty | 2015 | Bachelor of Commerce - Deakin University |
| Arunabh Banerjee | 0 | Bachelor of Commerce - Monash University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Cameron Alexander Sicker | 2018 | Advance Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - Deakin ~ Diploma of Financial Planning - Kaplan |
| Daniel Arcadiou | 2003 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Darren Shane Gulasekharam | 2017 | Bachelor of Commerce (Accounting, Finance & Financial Planning) - Deakin University ~ Diploma of Financial Planning - Kaplan Professional ~ Tax for Financial Advising - Kaplan Professional |
| David John Batchelor | 1998 | Bachelor of Business - RMIT University ~ Certificate of Superannuation Management - Macquarie University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University ~ Specialist SMSF Course - University of Adelaide |
| David Scott Bales | 2010 | Bachelor of Commerce - University of Melbourne ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Financial Management - University of New England |
| Fiona Shedden | 2005 | Bachelor of Business (Financial Planning) - RMIT ~ Diploma of Financial Planning - International Institute of Technology |
| Jason Michael Calleja | 2014 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Commerce - La Trobe University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Margin Lending Adviser(Personal Advice) - Mentor Education ~ Self Managed Superannuation Funds - Kaplan |
| Karl Hunting | 2004 | Certified Financial Planner - FPA ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending - Kaplan Professional ~ SMSF - Kaplan Professional |
| Kaye Taing | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce - The University of Adelaide ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Kelly Mayberry | 2012 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Certificate III in Financial Services - Victorian Registration and Qualifications Authority (VRQA) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Lee James Wapling | 2018 | Graduate Diploma of Financial Planning - Finsia ~ Margin Lending & Geared Investments - Kaplan |
| Martin Keith Hawkins | 1999 | Certified Financial Planner - Financial Planning Association ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Tribeca |
| Matthew Simon Izzo | 0 | Bachelor of Applied Finance - University of South Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Michael John Reynolds | 1987 | Investment Planning - Financial Planning Association ~ Retirement Planning - Financial Planning Association ~ Risk Management & Insurance Planning - Financial Planning Association ~ Self Managed Superannuation Funds - Kaplan |
| Nicholas Richard Stanley | 2005 | Bachelor of Commerce - Deakin University ~ Certified Financial Planner - Financial Planning Association ~ Graduate Diploma of Financial Planning - FINSIA ~ Margin Lending and Geared Investments - Kaplan ~ Specialist SMSF Course - The University of Adelaide |
| Nicola Louise Beswick | 2014 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Bachelor of Science - The University of Otago ~ Certified Financial Planner - Financial Planning Association Australia ~ Master of Science - The University of Otago |
| Paul Donaldson | 0 | Graduate Certificate in Financial Planning - Griffith University ~ Master of Financial Planning - Griffith University |
| Rebecca Poynton | 2018 | Bachelor of Commerce - University of Melbourne ~ CFP Certification Program - FPA ~ Diploma of Financial Planning - KAPLAN ~ Graduate Diploma of Financial Planning - Securities Institute of Australia |
| Richard John Dahl | 1996 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Graduate Diploma of Applied Finance and Investments - FINSIA ~ Margin Lending and Geared Investments - Kaplan ~ SMSF Specialist Advisor - SMSF Association |
| Rohan Gulasekharam | 1994 | Diploma of Financial Planning - RMIT University |
| Tony Castellano | 1999 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| William Michael Russell | 2003 | Bachelor of Business Financial Risk Management - Victoria University ~ Diploma of Financial Planning - Financial Planning Association ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Financial Essentials |