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;
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; 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:
derivatives;
foreign exchange contracts; and
interests in managed investment schemes limited to:
own managed investment scheme only; 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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adrian Joseph Vidotto | 2000 | Bachelor Degree - Business - RMIT University ~ CFP - Certified Financial Planner - Deakin Korum ~ Diploma - Business - Casey Tafe |
| Adrian Thomas Pollock | 2001 | Bachelor of Business (Banking & Finance) - Queensland University of Technology ~ Diploma of Financial Planning - International Institute of Technology ~ IIT: Specialist Margin Lending Course - International Institute of Technology ~ Margin Lending & Geared Investments - Kaplan Professional ~ Master of Financial Planning - Kaplan |
| Alan Cade Hutchinson | 2013 | Affiliate Financial Planner (AFP) - Financial Planning Association of Australia ~ Affiliate Financial Planner (AFP®) - Financial Planning Association of Australia ~ Bachelor of Economics and Business (Honours) - Flinders University of South Australia ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |
| Alastair Dieter Fink | 1998 | ASX Listed Products Adviser - Kaplan Professional Education ~ Bachelor of Commerce (Finance and Marketing) - Curtin University ~ Graduate Diploma in Financial Planning - Securities Institute ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Alexander Hamish Butler | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Proefssional ~ Bachelor of Economics - The University of Adelaide ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Certified Financial Planner (CFP®) - Financial Planning Association of Australia (FPA) ~ Margin Lending and Geared Investments - Kaplan Professional |
| Andre Mudigdo | 2014 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education ~ Bachelor of Economics - University of Sydney ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Master of Commerce (Financial Planning) - University Of Western Sydney ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Andrew Dickinson | 2022 | Bachelor of Commerce - Deakin ~ Certified Financial Planner (CFP) - Financial Advice Association of Australian (FAAA) ~ Ethics and Professionalism in Fin Advice - Kaplan |
| Andrew James Gardner | 2008 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Applied Economics - University of Canberra ~ Bachelor of Communication - University of Canberra ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional |
| Andrew John Mcgrath | 2003 | CFP - Certified Financial Planner - Financial Planning Association of Australia |
| Andrew Mabarrack | 2018 | Bachelor of commerce ( Finance / Economics) - Flinders University ~ Certified Financial Planner - Financial Advice Association Australia ~ FAAA Aged Care Specialist - Financial Advice Association Australia ~ Graduate Diploma of Financial Planning - Kaplan University |
| Anthony James Pears | 2004 | Bachelor Degree - Business - Charles Sturt University ~ Certified Financial PLanner - Financial Planning Association ~ Diploma - Financial Planning - Deakin University via FPA ~ RG146 Margin Lending - GWM Adviser Services |
| Anthony Michael Catt | 1998 | Accredited Family Business Adviser - Family Business Australia ~ Accredited Listed Product Adviser - Kaplan Professional Education ~ Bachelor of Commerce - Adelaide University ~ Graduate Diploma of Financial Planning - Securities Institute of Australia ~ Graduate Diploma of Securities - Securities Institute of Australia |
| Ashleigh Smith | 2023 | Diploma of Financial Planning - Kaplan |
| Belinda Frances Barclay | 2009 | Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Ltd ~ Margin Lending and Geared Investments - Kaplan Professional |
| Benjamin Adair Black | 2001 | Diploma of Financial Markets - Securities Institute of Australia ~ Graduate Diploma of Applied Finance and Investment - FINSIA ~ Master of Applied Finance - Major in Financial Planning - Kaplan Professional Education |
| Boi Dinh Fong | 2008 | Bachelor of Commerce - Curtin University of Technology ~ Margin Lending and Geared Investments - Kaplan ~ Master of Commerce (Finance) - Curtin University of Technology ~ Master of Financial Planning - Curtin University ~ Self Managed Super Funds - Kaplan |
| Cameron Peter Whyte | 2001 | Bachelor Degree - Commerce - Deakin University ~ CFP - Certified Financial Planner - Financial Planning Association of Australia |
| Christina Tran | 2017 | Bachelor of Commerce - University of South Australia ~ Diploma of Financial Planning - Kaplan |
| Christopher Martin Cattrall | 2000 | Diploma of Financial Markets - Securities Institute ~ Diploma of Financial Markets - Securities Institute ~ Graduate Diploma in Financial Planning - Securities Institute ~ Graduate Diploma of Financial Planning - Securities Institute |
| Dale Leigh Martens | 2007 | Diploma of Financial Services (Financial Planning) - Kaplan ~ Margin Lending & Geared Investments - Kaplan |
| Daniel William Wilson | 2022 | Bachelor of Commerce - Deakin ~ Certified Financial Planner - Financial Advice Association of Australian (FAAA) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Darren James Starr | 1999 | Diploma of Financial Planning - Investment Banking Institute ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| David Barry Sutherland | 1995 | Diploma of FP - xxx |
| David Joseph Conte | 2016 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Group ~ Bachelor of Business - Victoria University ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Ethics and Professionalism in Financial Advice - Kaplan |
| David Matthews | 2008 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of Commerce - University of Otago (NZ) ~ Diploma of Financial Planning - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Deborah Jean Kent | 1988 | CFP - Diploma of Financial Planning - Deakin University ~ Fellow Chartered Financial Practitioner - Association of Financial Advisers ~ Graduate Diploma of Financial Planning - Kaplan |
| Declan Bruce Freeman | 2018 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Business (Financial Planning) - RMIT ~ Diploma of financial Planning - Monarch Institute |
| Dylan Stephen Evans | 2012 | Advanced Diploma Financial Services (Financial Planning) - Kaplan ~ Bachelor of Business - Swinburne University of Technology ~ Self Managed Superannuation Funds - Kaplan ~ Tier 1 Margin Lending - Personal Advice - Kaplan |
| Fraser Roy Hastie | 2011 | Advanced Diploma of Financial Services - Kaplan ~ Advanced SMSF - Kaplan ~ Bachelor Of Commerce - University of Otago NZ ~ Certified Financial Planner - FPA ~ Diploma Financial Services - Mentor Education |
| Georgia Lee | 2022 | Financial Planning - Kaplan |
| Georgina Goldsmith | 0 | Bachelor of Business - UTS ~ Grad Diploma FP - Kaplan |
| Glen Anthony Orbell | 2006 | Bachelor Degree - Commerce - Deakin University ~ CFP - Certified Financial Planner - Financial Planning Association of Australia |
| Glenn Peers | 2003 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Bachelor of Commerce (Human Resource Management and Industrial Relations) - University of Western Sydney ~ Fellow Chartered Financial Practitioner (FChFP) - Association of Financial Advisers (AFA) ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Gordon Grey Thoms | 1991 | Bachelor Degree - Economics - Monash University ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma - Applied Finance and Investment - Financial Services Institute of Australia |
| Graeme Murray Obst | 2008 | Bachelor of Business (Accountancy) - Charles Sturt University ~ Chartered Accountant (CA) - CAANZ ~ Diploma Financial Services FNS50104 (GK FP LI MI SC SP Skills) - Dover Financial Training PTY LTD ~ Graduate Diploma of Business (Agribusiness) - Monash University ~ SMSF Specialist Adviser (SSA) - SMSF Association |
| Hayden Trevor Mortimore | 1995 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ Graduate certificate In Management - Queensland University Technology ~ Master of Business Administration - University of Southern Queensland ~ RG146 Margin Lending - MLC ThreeSixty |
| Jamie Anthony Klason | 2004 | Advanced Diploma - Financial Planning - Kaplan Professional |
| Jason Ball | 2002 | Certified Financial Planner Program - Deakin University ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Jeremy Kells | 2004 | Advanced Diploma - Financial Planning - Tribeca ~ Bachelor Degree - Commerce & Applied Finance - University of South Australia ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Certificate - Certificate IV in Mortgage Broking - Tribeca ~ Diploma - Financial Planning - Tribeca |
| Jin YU Huo | 2007 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Hospitality Management - University Of Western Sydney ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Joanne Lorna Kenderes | 2006 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Bachelor of Business - University of Technology, Sydney ~ Certificate of Attainment - Self-Managed Superannuation Funds - Kaplan ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Markets - Securities Institute |
| Jodi Anne Brady | 2018 | Bachelor of Business in Applied Economics - Victoria University ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan |
| Joel David Sharp | 2007 | Bachelor of Commerce (Banking and Finance) - Curtin University ~ Graduate Diploma in Financial Planning - Securities Institute ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| John Reginald Elliot Hill | 2003 | Bachelor Commerce (Economics) - Macquarie University ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma - Financial Planning - Deakin University |
| Jonathan Black | 1997 | Bachelor of Commerce - Melbourne University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Graduate Diploma in Applied Finance & Investment - Securities Institute of Australia/FINSIA |
| Jonathan Christie | 2018 | Diploma of Financial Planning - Kaplan |
| Julian Clive Alistair Mclaren | 1999 | Bachelor ofBusiness (Banking) - Charles Sturt University ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Margin Lending - Pinnacle Financial Services Academy |
| Julian Peter Michael Battistella | 1995 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma Financial Planning - Financial Planning Association (FPA) ~ Grad Dip Financial Planning - Deakin University ~ RG146 Margin Lending - MLC ThreeSixty |
| Karlie Maree Stuart | 2017 | Advanced Diploma Financial Planning FNS60415 - Monarch Institute ~ Diploma Financial Planning FNS50611 - Monarch Institute |
| Kate Alice O'brien | 2015 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business - University of Technology Sydney (UTS) ~ Diploma of Financial Services (financial Planning) - Tribeca |
| Keith Dearn Brown | 2006 | Bsc (Hons) in Business studies specializing in Economics and Marketing - Surrey University (UK) ~ Diploma of Financial Services - FINSIA ~ Investment Management Certificate - Institute of Investment Management and Research (UK) ~ Self Managed Super Funds - Kaplan Professional |
| Kosta Petrovic | 2014 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan |
| Kyle Aaron Medson | 2008 | Bachelor of Commerce in Financial Planning and Investments - Griffith University ~ Cavendish & ICFS Specialist SMSF Course - The University of Adelaide |
| Lachlan Stuart David ST Clair | 2004 | Bachelor of Economics - Macquarie University ~ Cert IV in Credit Management - Kaplan ~ Certified Financial Planner - FPA ~ Certified Investment Management Analyst (CIMA) - Investments & Wealth Institute ~ Self Managed Superannuation Funds Certificate - University of Adelaide |
| Laura Peressini | 2006 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Finance - La Trobe University ~ Certified Financial Planner - FPA |
| Lewis Noel Wegner | 2023 | Grad Diploma of Financial Services - Kaplan |
| Luis Arguello | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Aged Care Professional Program - Aged Care Steps ~ Bachelor of Business (Management) - Queensland University of Technology ~ Graduate Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Monarch Institute |
| Lynda Monique Sexton | 2018 | Bachelor of Business (Accountancy) - University of South Australia ~ Diploma of Financial Planning - Kaplan |
| Mark Daniel Foulis | 2018 | Accredited Listed Product Adviser Program - Kaplan ~ Bachelor of Commerce (Accounting) - University of South Australia ~ Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Mark Gibbs | 2004 | Advanced Diploma - Financial Planning - Integratec ~ Diploma - Financial Planning - Integratec ~ Graduate Diploma - Marketing - Royal Melbourne Institute of Technology ~ Masters Degree - Management - University of Southern Queensland |
| Mark Lee Agnew | 2011 | Bachelor of Education - Queensland University of Technology ~ Bachelor of Engineering (Environmental Engineering) - Griffith University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional |
| Matthew James Loveder | 2003 | Bachelor of Economics - The University of Adelaide ~ Graduate Diploma of Applied Finance - Deakin University ~ Gradutate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Tax (Financial) Adviser - Tax Practitioner Board |
| Matthew Richard Jones | 2018 | Bachelor of Financial Planning/Bachelor of Accounting - CQ University |
| Michael Jeffs | 2005 | Bachelor Degree - Business - Royal Melbourne Institute of Technology ~ CFP - Certified Financial Planner - Financial Planning Association of Australia |
| Michael Paul Ian James | 2001 | Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Certified Financial Planner (CFP®) - Financial Planning Association of Australia (FPA) ~ Degree of Bachelor Of Arts - University of Liverpool ~ Diploma of Financial Planning - Deakin University, FPA ~ Margin Lending and Geared Investments - Kaplan Professional |
| Michael Roy Bishop | 2006 | Advanced Diploma - Financial Planning - Tribeca - ThreeSixty Campus ~ Bachelor Degree - Finance - University of Adelaide |
| Nerida Hicks | 2002 | AFA 1 Business Strategy for Financial Advisers - CampusAFA ~ AFA 2 Client Experience Strategy - CampusAFA ~ Advanced Diploma Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Norman Mcleod Sinclair | 1997 | Diploma of Financial Planning - Deakin University ~ Masters of Financial Planning - University of Sunshine Coast |
| Paul Anthony Davies | 2000 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - International Institute of Technology |
| Paul Harwood | 2000 | Bachelor of Commerce (Economics) - University of Wollongong ~ Certificate in Applied Self Managed Super Fund Advice - Tower Trust ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Paul Matthew Sholl | 2010 | Advanced Diploma - Financial Planning - ThreeSixty ~ Bachelor Degree - Commerce - Deakin University ~ Diploma - Business Marketing (Associate) - Gordon Institute |
| Peter Gallagher | 2004 | Advanced Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Advanced Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Diploma of Superannuation Management - ASFA ~ Diploma of Superannuation Management - ASFA ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |
| Peter Jacob | 2011 | Diploma of Financial Planning - Kaplan Professional ~ Provide Advice in Derivatives - Quantum Financial Training ~ Self Managed Superannuation Funds - Kaplan Professional |
| Peter Robert Wilson | 2002 | CFP - Certified Financial Planner - Deakin University ~ Diploma - Financial Planning - Deakin University |
| Robert Gaggero | 2004 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Russell John Kapeechkin | 2007 | AU Inhouse SMSF Accreditation - AUPFS ~ AU Inhouse Securities Accreditation - AUPFS ~ Advanced Diploma Financial Planning - Mentor Education ~ Bachelor Degree - Commerce - University of Queensland - St Lucia ~ Diploma Financial Planning - Mentor Education |
| Samantha Jane Hamilton | 1998 | Accredited Listed Product Adviser - Kaplan Professional Education ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Samuel John Adams | 2005 | Advanced Diploma - Financial Planning - Kaplan ~ Bachelor Degree - Business - Swinburne University of Technology ~ CFP - Certified Financial Planner - Financial Planning Association of Australia |
| Sean Cowling | 2005 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Simon Boom | 2014 | Bachelor of Commerce (Finance and Financial Planning) - University of Wollongong ~ CFP certification - Financial Planning Association of Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Simon Trevor Cutler | 2008 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Stefano Giuseppe Capuano | 2002 | CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma - Financial Advising - SECURITIES INSTITUTE |
| Suzanne Nicole Packer | 2010 | Diploma of Financial Services (Financial Planning) - FINSIA ~ Graduate Diploma of Applied Finance (Financial Planning) - Kaplan ~ Margin Lending and Geared Investments - Kaplan |
| Tanya Alice Facius | 2005 | Diploma of Financial Planning - Deakin University ~ Graduate Diploma of Applied Finance - Kaplan Professional |
| Teagan Anne Curtin | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Certificate in Finance - Griffith University |
| Thomas Sturmann | 2024 | Grad Dip Financial Planning - Kaplan |
| Timothy Dale Wilkes | 2002 | Advanced Diploma of Financial Services (Financial Planning) - AMP Financial Services ~ Bachelor of Business - University of Newcastle ~ Diploma of Financial Services (Financial Planning) - AMP Financial Services |
| Travis Charles Adams | 2012 | Advanced Self Managed Superannuation Funds - Kaplan Professional ~ Bachelor of Economics - Adelaide University ~ Chartered Financial Analyst - CFA Institute ~ Graduate Diploma of Applied Finance and Investment - Securities Institue of Australia (SIA) ~ Tax (Financial) Adviser - Tax Practitioners Board |
| Travis James Hutchinson | 1999 | Diploma - Financial Planning - Deakin University |
| Trent Austin | 2005 | Diploma - Financial Planning - Financial Planning Association of Australia |
| Viviane Parsons | 1996 | Certified Financial Planner - FPA |
| Zachary John Morden-jones | 2016 | Advanced Diploma of Financial Planning FNS60415 - Mentor Education Group ~ Bachelor Finance (Banking and Financial Planning) - University of Canberra |