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;
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;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
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 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;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products 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;
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;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
provide the following custodial or depository services:
operate investor directed portfolio services (each of which is referred to as the IDPS); and
operate custodial or depository services other than investor directed portfolio services; and
provide traditional trustee company services:
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Robert Mitchell | 2007 | Bachelor of Business - Victoria University ~ Diploma of Financial Services - Tribeca |
| Akiva Kennard | 2023 | Graduate Diploma of Financial Planning - Kaplan |
| Alexander Luke Allenby | 2018 | Advanced Diploma of Financial Planning - Kaplan Education ~ Bachelor of Commerce (Financial Planning) - University of Wollongong ~ Diploma of Financial Planning - Kaplan Education |
| Andrew Epplett | 2004 | Bachelor of Commerce - University of Wollongong ~ Margin Lending and Geared Investments - Kaplan ~ SDIA Accreditation Program - Deakin University |
| Andrew Hiscock | 2007 | Advanced Diploma of Financial Services - Kaplan ~ Certificate IV Finance and Mortgage Broking - Kaplan ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
| Andrew John Parker | 2011 | Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Bachelor of Business - Charles Sturt Uni ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Life Risk Specialist - Financial Planning Association ~ SMSF Specialist Advisor - Self Managed Super Fund Association |
| Andrew Richard Grant Baker | 1998 | Bachelor of Business - Queensland University of Technology ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan |
| Anindya Bhattacharjee | 2016 | Bachelor of Commerce (Finance) - University of New South Wales (NSW) ~ Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd ~ Graduate Diploma of Financial Planning - Kaplan |
| Asha Achuthan | 2005 | Advanced Diploma Financial Services (Financial Planning) FNS60404 - Kaplan Australia ~ Bachelor of Commerce (Factory Administration and Costing) - Bangalore University India ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma Financial Services (Financial Planning) FNS50804 - MLC ThreeSixty ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Benjamin Malkki | 2018 | Bachelor of Commerce (Finance & Financial Planning) - University of Wollongong |
| Bradley Gecelter | 2011 | Advanced Diploma - Financial Planning - Kaplan ~ Bachelor Degree - Business - RMIT ~ Ethics and Professional in Financial Advice - KAPLAN |
| Brian Andrew Alfred King | 2018 | Bachelor of Business (Accounting) - Queensland University of Technology (QUT) ~ Certificate IV in Finance and Mortgage Broking - provider Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Carolyn Anne O'reilly | 2006 | Bachelor of Economics - University of Queensland ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Services - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia |
| Chemere Nicole Thor | 2018 | Advanced Diploma of Financial Planning - Kaplan Education ~ Diploma of Financial Planning - Financial Services Training & Assessment (FSTA) |
| Christopher Sing Wong | 2016 | Bachelor of Commerce (Finance & Financial Planning) - Deakin University ~ Certified Financial Planner Certification Program - Financial Planner Association of Australia ~ Self Managed Superannuation Funds - Kaplan Professional |
| Christopher Youssef | 2024 | Graduate Diploma of Financial Planning - Kaplan |
| Constantine Michael Maglis | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Accounting and Finance) - University of Notre Dame Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Daniel Carlos Tome | 2004 | Bachelor of Economics - York University ~ Certified Financial Planner - Canadian Securities Institute ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Daniel Elias | 2016 | Bachelor of Business and Commerce - University of Western Sydney ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Daniel John Gallacher | 2010 | Advanced Diploma of Financial Planning - Kaplan ~ Certificate of Self Managed Superannuation Funds - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending and Geared Investments - Kaplan |
| Daniel Mark Easton | 2015 | Bachelor of Business (Finance/Economics) - Charles Sturt University (CSU) ~ Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd ~ Master of Applied Finance (Financial Planning) - Charles Sturt University ~ Professional Diploma in Stockbroking - DeakinPrime ~ Tier 1 Margin Lending - Personal Advice - Kaplan |
| Daniel Swallow | 2016 | FNSASICZ503A: Provide advice in Financial Planning - Kaplan Professional ~ Margin Lending Accreditation Program - Stockbroker's Association of Australia ~ Master of Applied Finance - Macquarie University ~ Professional Diploma in Stockbroking - Stockbroker's Association of Australia ~ Superannuation and Retirement Planning - Kaplan Professional |
| Darren Topps | 2018 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Arts in Finance, Accounting & Management - University of Nottingham (UK) ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Monarch Institute ~ Ethics & Professionalism in Financial Advice - Kaplan |
| David John Hurley | 2016 | Bachelor of Commerce - University of Adelaide ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Securities and Managed Investments - Kaplan |
| Elizabeth Maree Wheatley | 2001 | Bachelor of Commerce - University of Canberra ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - KAPLAN ~ Master of Financial Planning - Kaplan |
| Elysse Marguerite Lorenti | 2010 | Advanced Diploma of Financial Planning - Kaplan ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan Professional |
| Fiona Burton | 2023 | Graduate Diploma of Financial Planning - Swinburne University of Technology |
| Fotini Mastrogianni | 1998 | Bachelor of Economics - University of Sydney ~ Certificate IV in Finance and Mortgage Broking - National Finance Institute ~ Certificate of Margin Lending and Geared Investments - Kaplan ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia |
| George Marshall | 2022 | Financial Adviser Exam - ASIC ~ Graduate Diploma of Financial Planning - KAPLAN ~ Master of Business (Applied Finance) - Queensland University of Technology |
| Grant Philip Treen | 2007 | Advanced Diploma Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business - Edith Cowan University ~ Fellow Chartered Financial Practitioner (FChFP) - Association of Financial Advisers (AFA) ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ Margin Lending and Geared Investments - Kaplan Professional |
| James Andrew Okeefe | 2018 | Diploma of Financial Services (Financial Planning) - FINSIA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Applied Finance - KAPLAN Professional |
| Jamie Brendon Cockerill | 2005 | Bachelor of Business - Griffith University ~ Certified Financial Planner - Financial Planning Associate of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Jason D'costa | 2015 | Bachelor of Commerce - University of Western Australia ~ Diploma of Financial Planning - Kaplan Professional |
| Jiffry Riyaz | 2011 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Master of Financial Planning - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Joel Harty | 2012 | Bachelor of Commerce (Financial Planning) - University of Wollongong |
| Kathy Porter | 2008 | Diploma of Superannuation Funds Management - Macquarie University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma Financial Planning - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Keegan Donal O'rourke | 2014 | Bachelor of Commerce - La Trobe University ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Masters of Applied Finance - Kaplan Professional |
| Leo Tang | 2016 | Bachelor of Commerce/Bachelor of Economics - Monash University ~ DFP 4 - Securities and Managed Investments - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ SMSF Certification - Kaplan Professional ~ Tax for Financial Advising - Kaplan Professional |
| Lewis Parras | 2023 | Graduate Diploma of Financial Planning - Kaplan |
| Lucy Silvana Salaris | 2005 | Bachelor of Arts (Major in Politics Minor and Legal Studies) - La Trobe University ~ Diploma of Financial Services - Kaplan |
| Luke William Fisher | 2017 | Bachelor of Arts (Global) and Bachelor of Commerce (Finance) - Monash University ~ Business Law - Monash University ~ Diploma of Financial Planning - Kaplan |
| Malissa Tobias | 2001 | Bachelor of Business - Victoria University ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA |
| Marisa Senese | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Mark Evan Vignaroli | 1996 | Accredited Estate Planning Strategist - University Technology Sydney ~ Bachelor of Commerce (Accounting) - La Trobe University ~ Certified Financial Planner - Deaking University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance - Securities Institute of Australia |
| Mark Heffernan | 2010 | Bachelor of Commerce - Deakin University ~ Managed Investments - SDIA ~ Margin Lending and Geared Investments - Kaplan ~ Master of Applied Finance - Macquarie University |
| Mathew Stewart Gault | 2009 | Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - FINSIA ~ Graduate Diploma of Financial Planning - finsia ~ UK Law Degree - Reading University ~ UK Qualified Solicitor - Supreme Court of England and Wales |
| Matthew Langhein | 2022 | Bachelor of Commerce - Macquarie University ~ Certified Financial Planner - FPA ~ Debt Strategies - Kaplan ~ Graduate Diploma of Financial Planning - KAPLAN ~ Master of Financial Planning - Kaplan |
| Matthew Ryan Doyle | 2018 | Accredited Derivatives Adviser 2 - Kaplan ~ Accredited Derivatives Adviser Level 1 - Deakin Prime ~ Diploma Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Juris Doctor - University of Sydney |
| Monique Jordan Doney | 2015 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Commerce (Finance) - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ Master of Financial Planning - Griffith University |
| Nick Patterson | 2014 | Bachelor of Business Administration - Macquarie University ~ Bachelor of Commerce-Accounting - Macquarie University ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Diploma of Financial Planning - Integrity Education Group |
| Oscar John Lloyd Howard | 2010 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Commerce - University of Melbourne |
| Patrick James Abrams | 2014 | Accredited Derivatives Adviser Level 2 - Deakin Prime ~ Bachelor of Business - University of Technology Sydney ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Securities & Managed Investments Accreditation Program - Deakin Prime |
| Paul Gerard Mccarthy | 1999 | Bachelor of Economics - University of Newcastle ~ Diploma of Financial Planning - Deakin University / FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Peter White | 2004 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Master of Applied Finance - Charles Sturt University |
| Phillip Andrew Hines | 1989 | Cavendish & ICFS Specialist, SMSF Course - The University of Adelaide ~ Dip FS (FP) - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Prabhat Mehla | 2018 | Bachelor of Commerce (Accounting) - Flinders University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ RG146 letter - Flinders University |
| Priscilla Osei-ntim | 2018 | Advanced Diploma in Financial Planning - Mentor Education ~ Diploma in Financial Planning - NSW TAFE ~ Graduate Certificate in Financial planning - Griffith University ~ Master of Financial Planning - Griffith University |
| Prudence Evelyn Homewood | 2016 | Advanced Diploma of Accounting - Chisholm Institute ~ Bachelor of Exercise Science - Australian Catholic University ~ Financial Planning Essentials, Superannuation & Retirement Planning, Risk Management - Pinnacle Financial Services Academy ~ Securities and Managed Investments - Kaplan Professional Education |
| Rachelle Anne Arranz | 2004 | Adanced Diploma in Financial Services - Kaplan ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma in Financial Markets - Securities Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Raoul Shemer | 1983 | Advanced Diploma of Financial Planning - RG 146 Training Australia ~ Investment Planning 1 - Integratec |
| Renee Condylis | 2018 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Agricultural Economics - University of Sydney ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Reymon Makkar | 2008 | Advanced Diploma of Financial Services - International Institute of Technology ~ Diploma of Financial Services - Mentor Education ~ Graduate Diploma of Financial Planning - Kaplan Professional Pty Ltd ~ Master of Financial Planning - Kaplan Professional Pty Ltd |
| Richard Andrew Mcclelland | 2015 | Bachelor of Commerce - University of Wollongong ~ Certified Financial Planner - FPA ~ Graduate Diploma of Applied Finance - Kaplan ~ Master of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan |
| Rosemarie Gurrisi | 2004 | Bachelor of Business (Economics and Finance) - RMIT ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Roxanne Gorman | 2003 | Bachelor of Arts (Economics) - University of New South Wales ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business Administration - University of New England ~ Master of Financial Planning - University of Sunshine Coast |
| Ruby Piety Haase | 2006 | Bachelor of Commerce - Macquarie University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan |
| Scott David Hayward | 2018 | Bachelor Business and Commerce (Major in Finance) - University of Southern Queensland ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Shikha Arora | 2012 | Bachelor of commerce - Delhi University, India ~ Diploma in Financial Planning - Mentor Education ~ Graduate Diploma of Financial Planning - Kaplan |
| Shiva Vemula | 2010 | Bachelor of Commerce (Accounting and Finance) - Monash University ~ Certified Financial Planner - FPA |
| Siufan Lee | 2010 | Bachelor of Commerce (Economics) - Curtin University ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Master of Accounting - Curtin University ~ Master of Finance - Curtin University |
| Sophie Dunn | 2023 | Graduate Diploma for Financial Planning - Kaplan |
| Steven DE Natris | 2012 | Bachelor of Commerce - University of Melbourne ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance - Kaplan ~ Master of Applied Finance - Kaplan Professional |
| Tjay Ratnawardana | 2018 | Advanced Diploma of Financial Planning FNS60415 - Kaplan Professional ~ Bachelor of Applied Finance (Economics) - Macquarie University ~ Graduate Diploma in Financial Planning - Western Sydney University ~ RG146 Tier 1 Margin Lending - Kaplan Professional |
| Tony Mastromanno | 2000 | Diploma in Financial Planning - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Warren Brook Skinner | 2003 | Advanced Diploma of Financial Planning - FPA ~ Cavendish & ICFS Specialist, SMSF Course - The University of Adelaide ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| William Mackay Johnston | 2018 | Bachelor of Commerce - University of New England ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending Specialist - Kaplan |
| Yan (emily) Sun | 2004 | Bachelor of Finance - La Trobe University ~ Cavendish & ICFS Specialist SMSF Course - Cavendish ~ Graduate Diploma of Financial Planning - Financial Services Institute of Australia (Finsia) ~ Margin Lending and Geared Investments - Kaplan Professional ~ Master of Commerce (Business Information Systems and Finance) - University of Sydney |
| ZI GU | 2008 | Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Finsia ~ Master of Commerce in Advanced Finance - The University of New South Wales ~ Self Managed Superannuation Funds - Kaplan Professional Education |