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;
securities;
standard margin lending facility; and
superannuation; and
deal in a financial product by:
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;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Bennett | 2010 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Services (financial planning) - Kaplan Professional ~ Matgin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Adam James Cameron | 2023 | " Graduate Diploma of Financial Planning" - Kaplan Professional ~ Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Ahmad Ramiz Mohaia | 2017 | Master of Commerce(Financial Planning) - University of Western Sydney |
| Albert Alexander Evans | 2009 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of International Finance - Griffith University ~ Diploma of Financial Planning - Kaplan Professional Education ~ Diploma of Financial services (Financial Planning) - Pinnacle Financial Services |
| Alvin Wong | 2007 | Advanced Diploma of Financial Planning - PS146 ~ Bachelor of Commerce - The University of Queensland ~ Diploma of Financial Planning - PS146 ~ LPAC Online Pty Ltd - ASX Listed Products Accreditation Course (LPAC) ~ Self Managed Superannuation Funds - Kaplan |
| Campbell Munro Knox | 2013 | Bachelor of Business (Business Management) - Charles Sturt University ~ Diploma of Financial Services (Financial Planning) - Mentor Education / RG146 ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - Kaplan Professional (formerly FINSIA) ~ Graduate Diploma of Financial Planning - Kaplan Professional (formerly FINSIA) |
| Christian Edward O'connor | 2001 | Certified Financial Planner Program - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning - Deakin University ~ Graduate Diploma in Economics - University of New England ~ Master of Commerce (Financial Planning) - University of Western Sydney |
| Christopher John Payne | 2016 | Bachelor of Business - La Trobe University ~ Client Engagement Skills - Kaplan Professional ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| David Bruce Nimmo | 1994 | Diploma of Financial Services (Financial Planning) - ThreeSixty (GWM Adviser Services) ~ Margin Lending & Geared Investments - Kaplan Professional |
| Dean Lawrence Tuckerman | 1995 | Bachelor of Commerce (Finance) - University of Newcastle ~ FSR Accreditation - The centre for Business Solutions ~ TPB Code of Professional Conduct - Kaplan |
| Dean Short | 2008 | Diploma of Financial Services (Financial Planning) - FTSA ~ Margin Lending - Financial Education Professionals Pty Ltd ~ Sefl Managed Superannuation Funds Knowledge - Pinnacle Financial Services Academy |
| Dean William Tipping | 2017 | Bachelor of Business (Accounting) - La Trobe University ~ Diploma of Financial Planning - Investment Banking Institute |
| Ewan Henderson | 2007 | Diploma of Financial Services (Financial Planning) - AMP Financial Planning Pty Ltd RTO National Provider No:90242 ~ Self Managed Superannuation Funds - Kaplan Professional |
| Graham Frater | 2002 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - AMP Limited |
| Jannette Moseley | 2004 | 928S Margin Lending - Kaplan Professional Education ~ Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Diploma of Financial Services (Financial Planning) - ThreeSixty ~ SMSF Specialist Pathway Program - Tribeca |
| John Clayton Robertson | 1987 | ASX Listed Products Accreditation Course (LPAC) - LPAC Online Pty Ltd ~ Bachelor of Business (Accounting) - Curtain University (WA) ~ Diploma of Financial Planning - Financial Planning Association ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| John Vincent Morello | 1991 | Certified Financial Planner - Financial Planning Association of Australia |
| Jonathon Missingham | 2011 | Advanced Diploma - Financial Planning - Kaplan Professional ~ Bachelor Degree - Management - Charles Sturt University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma - Financial Services - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Profressional |
| Kim Sindel | 1986 | Graduate Certificate in Financial Planning - Griffith University |
| Leonie Asani | 2014 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Lorelle Price | 2010 | Bachelor of Business (Management) - Swinburne University of Technology ~ Diploma of Financial Services (Financial Planning) - Tribeca (Kaplan Professional) |
| Matthew Suters | 2010 | Advanced Diploma of Financial Services (Financial Planning) - PS146 Training Australia ~ Diploma of Financial Services (Financial Planning) - PS146 Training Australia ~ Graduate Certificate in Financial Planning - Griffith University ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
| Mostafa Mohamed Ali Shouman | 2016 | Advanced Diploma of Financial - Monarch Institute ~ Australian Taxation Law for Tax (Financial) Advisers - AAMC Training Group ~ Commercial Law - Kaplan Professional ~ Diploma of Financial Planning - Monarch Institute ~ Margin Lending - Monarch Institute |
| Munadir Islam Khan | 2016 | Bachelor of Commerce - University of Wollongong ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Peter Thomas Durbin | 1986 | Bachelor of Commerce - University of Newcastle ~ Certificate Course - Securities Institute of Australia ~ Graduate Diploma in Applied Finance and Investment - Securities Institute Australia |
| Philip Jones | 2001 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Robert Galante | 1997 | Bachelor of Arts in Administration - Canberra College of Advanced Education ~ Certified Financial Planner - FPA ~ Diploma of Financial Advising - Securities Institute |
| Samantha Leigh Livingstone-foggo | 2018 | Bachelor of Business - University of New England ~ Diploma of Financial Planning - Monarch Institute ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Scott Bradley Jacobs | 2005 | Bachelor of Commerce - University of Newcastle ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Steven Baker | 1998 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Kaplan |
| Steven Norman Field | 1996 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Sungai Andrew Pfumojena | 2007 | ALPA - KAPLAN ~ Accredited listed product provider course - Kaplan ~ Bachelor of Commerce (Finance & Financial Planning) - Deakin University |
| Trent Wayne Shanahan | 2018 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Finance - University of Newcastle ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Vukasin Stjepovic | 2015 | Diploma of Financial Services - Kaplan ~ Graduate Diploma of Financial Planning - KAPLAN |
| Warren Fischer | 1993 | Associate Diploma of Business (Accounting) - TAFE ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |