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 limited to:
old law securities options contracts and warrants;
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 limited to:
old law securities options contracts and warrants; 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 limited to:
old law securities options contracts and warrants;
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 |
|---|---|---|
| Aadil Abbas Lakdawalla | 2023 | 2004 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2005 - Master of Business Administration - Masters Degree (AQF 9) - University of New South Wales |
| Abhishek Gupta | 2009 | 2007 - Master of Commerce - - The University of Queenland ~ 2009 - Diploma of Financial Services - - Mentor Education ~ 2018 - Advanced Diploma In Financial Planning - - Mentor Education ~ 2020 - Self Managed Superannuation Fund Adviser (Personal Advice) - Other - Mentor Education |
| Adam John Easter | 1999 | 2001 - Diploma of Financial Planning - - Deakin University ~ 2004 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) |
| Afiq Malek | 2022 | 2015 - Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Alexander Griffin | 2024 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Griffith University Queensland |
| Andrew Davies | 2000 | 2000 - Bachelor of Arts - - Flinders University of South Australia ~ 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2003 - Certified Financial Planner - - Financial Planning Association of Australia |
| Anthony Gerard Hourigan | 2001 | 2005 - Bachelor of Business - - University of Technology ~ 2013 - Diploma of Financial Planning - - Kaplan |
| Brandon Wiley Lee | 2022 | 2020 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of the Sunshine Coast |
| Cameron Klutke | 2010 | 2007 - Bachelor of Applied Science - - Federation Uni ~ 2010 - RG146 - - Deakin Prime Stockbrokers ~ 2019 - Insurance Advice - Diploma (AQF 5) - Kaplan ~ 2019 - Superannuation and Retirement Advice - Diploma (AQF 5) - Kaplan |
| Chul Goo Park | 2006 | 2013 - Diploma of Financial Services (Financial Planning) - - International Institute of Technology Pty Ltd (IIT) |
| Damien Korlevski | 2017 | 2014 - Bachelor of Commerce (Finance) - - University of New South Wales ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| Dane Matthew Pymble | 2018 | 2005 - Diploma of Financial Services (Financial Planning) - - FINSIA ~ 2018 - Margin Lending Adviser (Personal Advice) - - Mentor Education |
| Daniel Park | 2017 | 2016 - Bachelor of Commerce - - Macquarie University ~ 2016 - Diploma of Financial Planning - - McMasters RTO ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan Professional Education |
| Gaurav Arora | 2018 | 2017 - Bachelor of Commerce (Finance) - - Flinders University ~ 2018 - Diploma of Financial Planning - - Mentor Education |
| George Tso Chih Wong | 2016 | 2013 - Bachelor of Commerce (Honours) - Bachelor Honours Degree (AQF 8) - University of Sydney ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2018 - Core 1 Securities and Managed Investments Accreditation - Diploma (AQF 5) - Stockbrokers Association of Australia ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Hao Derek Ding | 2005 | 2004 - Bachelor of Commerce and Arts - - University of Sydney ~ 2006 - Diploma of Financial Services (Financial Planning) - - Kaplan (formerly Tribeca) ~ 2008 - Advanced Diploma of Financial Services - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - FPA CFP Designation - Professional Designations - Financial Planning Association of Australia |
| Heath Laurence Moss | 2004 | 2004 - Entry Level Competencies - - Kaplan ~ 2006 - ASX Listed Products Accreditation Course - - ASX ~ 2007 - Self Managed Superannuation Funds - - Kaplan ~ 2009 - Wealth Creation & Retirement Planning (DFS Module 4) - - Three Sixty ~ 2010 - Margin Lending & Geared Investments - - Kaplan |
| Howard David Cole | 1993 | 1987 - Bachelor of Commerce - - University of Melbourne ~ 1992 - Bachelor of Arts with Honours - - University of Melbourne ~ 1995 - Graduate Diploma in Applied Finance and Investment - - Securities Institute of Australia ~ 2000 - Graduate Diploma in Financial Planning - - Securities Institute of Australia |
| Jason Ian Hawthorn | 1999 | 1998 - Certificate 3 in Financial Markets - - The Securities Institute ~ 2004 - Diploma of Financial Services - - Integra ~ 2011 - Accreditation in Margin Lending - - Financial Review Education |
| Jobbe YU | 2015 | 2014 - Master of Commerce - - Macquarie University ~ 2015 - Diploma of Finance and Mortgage Broking Management - - Kaplan Professional ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2015 - Securities and Managed Investments - - Kaplan Professional ~ 2017 - Self Managed Super Fund - - Kaplan Professional |
| Joel Tilbrook | 2018 | 2007 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - Macquarie University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Johnny Shin | 2014 | 2008 - Diploma of Accounting - - TAFE Queensland ~ 2012 - Bachelor of Commerce (Finance) - - Griffith University ~ 2014 - Diploma of Financial Planning - - Investment Banking Institute |
| Jolene Vanessa Sukkarieh | 2000 | 2003 - Master of Commerce (Financial Planning) - - University of Western Sydney ~ 2011 - SMSF Specialised Advisor - Other - SMSF Association |
| Joseph Calcraft | 2015 | 2006 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Wollongong ~ 2008 - Master of Applied Finance (Investing) - Masters Degree (AQF 9) - University of Wollongong ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| Julie Anne Gray | 2007 | 2006 - Diploma of Financial Services (Financial Planning) - - Mentor Education ~ 2007 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2009 - ASX Accredited Listed Products Adviser Program - - Kaplan Professional Education ~ 2012 - Advanced Diploma of Management - - Stott's College |
| Ken Ryan | 1978 | 2003 - Certificate IV in Financial Planning - - Integratec |
| Matthew David Bazzica | 2004 | 2008 - Diploma of Financial Services - - Kaplan ~ 2013 - Margin Lending and Geared Investments - - Kaplan ~ 2014 - Self Managed Superannuation Funds - - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - - Mentor Education |
| Matthew Sukkarieh | 2006 | 2008 - Diploma of Financial Planning - - Finsia |
| Michael Holmes | 2006 | 1999 - Bachelor of Commerce (Banking & Finance) - - University of Canberra ~ 2007 - Diploma in Financial Services (Financial Planning) - - Kaplan ~ 2010 - Graduate Diploma in Chartered Accounting - - Institute of Chartered Accounts in Australia |
| Nhi AI Lam VO | 2002 | 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2007 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional |
| Panbo YE | 2017 | 2007 - Bachelor of Business (Accounting) - - University of Western Sydney ~ 2010 - Certificate IV in Financial Services (Financial/Mortgage Broking) - - TAFE NSW ~ 2014 - Master of Business Administration - - University of Western Sydney ~ 2016 - Diploma of Financial Planning - FNS50615 - - CPA Australia ~ 2019 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Paul Jonathon Reid | 2018 | 2018 - Diploma of Financial Planning - - Mentor Education |
| Peter Christian Fowler | 1981 | 2003 - Diploma Financial Services (Financial Planning ) - - Kaplan ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2013 - Advanced Self Managed Super Funds - - Kaplan ~ 2014 - ASX Listed Products Accreditation - - LPAC ~ 2015 - Accredited Derivatives Adviser - - Kaplan |
| Phillip Leslie | 1990 | 1977 - Bachelor of Law - - University of Sydney ~ 2002 - Policy Statement 146 Knowledge Assessment - - Integratec |
| Roger Geoffrey Pridham | 1996 | 2002 - Risk Management - - Kaplan/Integratec ~ 2004 - Diploma of Financial Services (Financial Planning) - - Integratec ~ 2010 - Margin Lending & Geared Investments - - Adelaide Bank/Leveraged Equities ~ 2011 - Diploma of Financial Advising - - Securities Institute ~ 2011 - Self Managed Superannuation Specialist - - Cavendish Superannuation |
| Samuel David Mathews | 1999 | 2002 - Accreditation Program PS146 Securities, Futures Markets and Managed Investments - - SDIA ~ 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2010 - Margin Lending Accreditation - - Stockbrokers Association of Australia |
| Samuel Peter Phillipou | 1997 | 1995 - Bachelor of Science (Major in Applied Mathematics & Statistics) - - Adelaide University ~ 2005 - Diploma of Financial Services - - Three Sixty ~ 2006 - Advanced Diploma of Financial Services - - Three Sixty |
| Shannon Luan Telley | 2012 | 2017 - Diploma of Financial Planning - - Mentor Education ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Tanner Jordan | 2018 | 2016 - Bachelor of Business (Banking and Finance) - - Victoria University ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2019 - Self Managed Superannuation Funds - - Integrity Education Group ~ 2020 - Financial Planning - Advanced Diploma (AQF 6) - Mentor |
| Wen Xie | 2015 | 2012 - Bachelor of Commerce (Accounting) - - Macquarie University ~ 2014 - Diploma of Financial Planning - - Mentor Education ~ 2018 - Advanced Financial Planning - - Kaplan Professional |