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 | 2010 - Diploma of Financial Services (financial planning) - - Kaplan Professional ~ 2010 - Matgin Lending and Geared Investments - - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan |
| Adam James Cameron | 2023 | 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - " Graduate Diploma of Financial Planning" - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Ahmad Ramiz Mohaia | 2017 | 2015 - Master of Commerce(Financial Planning) - - University of Western Sydney |
| Albert Alexander Evans | 2009 | 2006 - Bachelor of International Finance - - Griffith University ~ 2008 - Diploma of Financial services (Financial Planning) - - Pinnacle Financial Services ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2013 - Diploma of Financial Planning - - Kaplan Professional Education |
| Alvin Wong | 2007 | 2004 - Bachelor of Commerce - - The University of Queensland ~ 2007 - Diploma of Financial Planning - - PS146 ~ 2008 - Advanced Diploma of Financial Planning - - PS146 ~ 2012 - Self Managed Superannuation Funds - - Kaplan ~ 2014 - LPAC Online Pty Ltd - - ASX Listed Products Accreditation Course (LPAC) |
| Campbell Munro Knox | 2013 | 1993 - Bachelor of Business (Business Management) - - Charles Sturt University ~ 1997 - Graduate Diploma of Applied Finance and Investment - - Kaplan Professional (formerly FINSIA) ~ 2005 - Graduate Diploma of Financial Planning - - Kaplan Professional (formerly FINSIA) ~ 2008 - Diploma of Financial Services (Financial Planning) - - Mentor Education / RG146 ~ 2019 - Ethics and Professionalism in Financial Advice - Other - Kaplan Professional |
| Christian Edward O'connor | 2001 | 2004 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2012 - Master of Commerce (Financial Planning) - Masters Degree (AQF 9) - University of Western Sydney ~ 2013 - Graduate Diploma in Economics - Graduate Diploma (AQF 8) - University of New England ~ 2014 - Certified Financial Planner Program - - Financial Planning Association of Australia (FPA) |
| David Bruce Nimmo | 1994 | 2004 - Diploma of Financial Services (Financial Planning) - - ThreeSixty (GWM Adviser Services) ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional |
| Dean Lawrence Tuckerman | 1995 | 2000 - Bachelor of Commerce (Finance) - - University of Newcastle ~ 2002 - FSR Accreditation - - The centre for Business Solutions ~ 2016 - TPB Code of Professional Conduct - - Kaplan |
| Dean Short | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - - FTSA ~ 2011 - Margin Lending - - Financial Education Professionals Pty Ltd ~ 2013 - Sefl Managed Superannuation Funds Knowledge - - Pinnacle Financial Services Academy |
| Dean William Tipping | 2017 | 1991 - Bachelor of Business (Accounting) - - La Trobe University ~ 2015 - Diploma of Financial Planning - - Investment Banking Institute |
| Ewan Henderson | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - - AMP Financial Planning Pty Ltd RTO National Provider No:90242 ~ 2017 - Self Managed Superannuation Funds - - Kaplan Professional |
| Graham Frater | 2002 | 2003 - Diploma of Financial Services (Financial Planning) - - AMP Limited ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Jamie Grant Arnott | 2016 | 2014 - Bachelor of Applied Finance - - Macquarie University ~ 2014 - Bachelor of Economics - - Macquarie University ~ 2015 - Diploma of Financial Planning - - Kaplan Professional |
| Jannette Moseley | 2004 | 2003 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - ThreeSixty ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2006 - SMSF Specialist Pathway Program - Certificate (AQF 1-4) - Tribeca ~ 2013 - 928S Margin Lending - Certificate (AQF 1-4) - Kaplan Professional Education |
| John Vincent Morello | 1991 | 2000 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Jonathon Missingham | 2011 | 2007 - Bachelor Degree - Management - - Charles Sturt University ~ 2009 - Diploma - Financial Services - - Kaplan Professional ~ 2011 - Advanced Diploma - Financial Planning - - Kaplan Professional ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Profressional |
| Kim Sindel | 1986 | 2016 - Graduate Certificate in Financial Planning - - Griffith University |
| Leonie Asani | 2014 | 2011 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Matthew Suters | 2010 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - PS146 Training Australia ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - PS146 Training Australia ~ 2010 - Margin Lending & Geared Investments - Other - Kaplan Professional ~ 2016 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2019 - Self Managed Superannuation Fund Adviser (Personal Advice) - Other - Mentor Education |
| Munadir Islam Khan | 2016 | 2004 - Bachelor of Commerce - - University of Wollongong ~ 2016 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Peter Thomas Durbin | 1986 | 1986 - Bachelor of Commerce - - University of Newcastle ~ 1990 - Graduate Diploma in Applied Finance and Investment - - Securities Institute Australia ~ 2008 - Certificate Course - - Securities Institute of Australia |
| Philip Jones | 2001 | 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |
| Robert Galante | 1997 | 1982 - Bachelor of Arts in Administration - - Canberra College of Advanced Education ~ 2004 - Certified Financial Planner - - FPA ~ 2004 - Diploma of Financial Advising - - Securities Institute |
| Samantha Leigh Livingstone-foggo | 2018 | 2015 - Bachelor of Business - - University of New England ~ 2017 - Diploma of Financial Planning - - Monarch Institute ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Scott Bradley Jacobs | 2005 | 2006 - Bachelor of Commerce - - University of Newcastle ~ 2008 - Diploma of Financial Planning - - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Steven Norman Field | 1996 | 2002 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |
| Sungai Andrew Pfumojena | 2007 | 2007 - Bachelor of Commerce (Finance & Financial Planning) - - Deakin University ~ 2014 - ALPA - - KAPLAN ~ 2014 - Accredited listed product provider course - - Kaplan |
| Trent Wayne Shanahan | 2018 | 2005 - Bachelor of Finance - Bachelor Degree (AQF 7) - University of Newcastle ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2014 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Vukasin Stjepovic | 2015 | 2010 - Diploma of Financial Services - - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN |
| Warren Fischer | 1993 | 1991 - Associate Diploma of Business (Accounting) - - TAFE ~ 2003 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2012 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy |