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