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;
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:
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;
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 |
|---|---|---|
| Anthony Carl Carboon | 2014 | 2006 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
| Barton Edward Peek | 2017 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2021 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of New England |
| Bradley David Bond | 2015 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Bronwyn Louise Hodges | 2004 | 2000 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Graduate Diploma (AQF 8) - Kaplan Professional Education ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Christian Brian Stanger | 2007 | 2009 - Diploma of Financial Services - Diploma (AQF 5) - KAPLAN ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2018 - Margin Lending - RG146 - Other - Monarch ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
| David Anthony Parry | 2004 | 1998 - Bachelor of Business - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2005 - Advanced Diploma of Financial Services ( Financial Planning - Advanced Diploma (AQF 6) - FPA ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| David Paul Searle | 2004 | 2000 - Diploma of Financial Markets - - Securities Institute ~ 2016 - Diploma of Financial Planning - - International Institute of Technology Pty Ltd (IIT) ~ 2021 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional |
| David Pettit | 2005 | 2002 - Bachelor Degree - Commerce - Bachelor Degree (AQF 7) - University of Otago ~ 2005 - Diploma of Financial Services ( Financial Planning ) - Diploma (AQF 5) - Tribeca ~ 2009 - Advanced Diploma of Financial Services ( Financial Planning ) - Advanced Diploma (AQF 6) - Kaplan |
| Diogo Lacerda Rodrigues | 2018 | 2018 - Bachelor of Commerce (Accounting and Financial Planning) - Bachelor Degree (AQF 7) - Griffith University ~ 2019 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Domenic Romeo | 1996 | 1994 - Bachelor of Commerce (Economics and Marketing) - Bachelor Degree (AQF 7) - Curtin University ~ 2004 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association ~ 2019 - FPC002B - Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |
| Gabrielle Eynon | 2015 | 2015 - Diploma of Financial Planning - - Pinnacle Financial Services Academy Pty Ltd ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Gareth Anthony Healy | 2006 | 2004 - Bachelor of Business double major in Finance and Electronic Commerce - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2007 - Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Tribeca ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Geraldine Scott | 2004 | 2003 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University |
| Glenn Hedger | 2023 | 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2021 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University |
| Grant Matthew Teakle | 2008 | 1995 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University ~ 2008 - Diploma of Financial Services ( Financial Planning ) - Diploma (AQF 5) - CPA |
| Isabel Dallas | 2018 | 2000 - Bachelor of Commerce (Finance) - Bachelor Degree (AQF 7) - University of Western Australia ~ 2008 - Diploma of Accounting - Diploma (AQF 5) - TAFE Tasmania ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology Pty Ltd (IIT) ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jake Daniel Souter | 0 | 2022 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Jason Wong | 2015 | 2005 - Bachelor of Business (Information Management) - Bachelor Degree (AQF 7) - RMIT ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2013 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| John Greg Pearson | 2007 | 2006 - Diploma of Financial Services (Financial Planning) - - Mentor Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan |
| Jonathon Martino | 2017 | 2014 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - University of South Australia ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Julie Samantha Bullen | 0 | 2023 - Bachelor of Business (Financial Planning and Taxation (Extended) major) - Bachelor Degree (AQF 7) - Griffith University |
| Justin Chong | 2016 | 2012 - Bachelor of Commerce (Economics & Finance) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Pinnacle ~ 2018 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Karunesh Arora | 2018 | 2013 - Master of Professional Accounting - Masters Degree (AQF 9) - Kaplan ~ 2015 - Diploma of Financial Planning FNS50615 - Diploma (AQF 5) - Monarch Institute ~ 2016 - Advance Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Krisna Ngetis | 2023 | 2022 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2022 - Bachelor of International Business - Bachelor Degree (AQF 7) - Griffith University |
| Kristelle Harris | 2007 | 2011 - Bachelor of Commerce - - University of Western Australia ~ 2013 - Diploma of Financial Planning - - Kaplan Professional ~ 2014 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional Education |
| Larissa Paige Coert | 2018 | 2015 - Bachelor of Business ( Employment Relations ) - Bachelor Degree (AQF 7) - Griffith University ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology |
| Lisa Ann Watzek | 1999 | 1996 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 1997 - Bachelor of Commerce (Second Class Honours, Division A) - Bachelor Honours Degree (AQF 8) - University of Southern Queensland ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia Limited ~ 2003 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited |
| Michael Andrew Jerard | 2006 | 1985 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Melbourne ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - FPA - Deakin University & Tribeca ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca & Kaplan Professional ~ 2021 - Ethics & Professionalism in Financial Advice FPC002B - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Certified Financial Planner - Professional Designations - FPA |
| Nancy Vos | 2017 | 2012 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Neil Kenneth Vincent Rowley | 2000 | 2003 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2014 - Bachelor of Business - Management - Bachelor Degree (AQF 7) - Queensland University of Technology |
| Niyoosha Reinehr | 2016 | 2012 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2017 - Bachelor of Commerce/Finance - Bachelor Degree (AQF 7) - Swinburne University |
| Peter L Mcdonald | 1997 | 1992 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Edith Cowan University (ECU) ~ 2000 - Diploma of Financial Planning - Diploma (AQF 5) - FPA |
| Robert Catherall | 2008 | 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2009 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) |
| Russel Molin | 2009 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Mentor Education ~ 2015 - TASA and the TPB Code of Professional Conduct - Other - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Samuel Jackson Price | 0 | 2024 - Bachelor of Applied Financial Advice - Bachelor Degree (AQF 7) - Griffith University |
| Samuel James Boon | 2023 | 2021 - Bachelor Commerce (FP) - Bachelor Degree (AQF 7) - James Cook University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University |
| Sharmila Kiran Phal | 2006 | 2005 - Diploma of Financial Planning (DFP 1-8) - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2021 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Sharon Lea Trestrail | 2010 | 1998 - Bachelor of Business (Banking & Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2010 - Graduate Diploma of Applied Finance (Financial Planning) - Graduate Certificate (AQF 8) - Kaplan Professional |
| Shreya Singh | 2017 | 2010 - Bachelor Of Commerce - Bachelor Degree (AQF 7) - University of New England ~ 2010 - Master of Human Resource Management and Industrial Relations - - The University of Sydney ~ 2016 - Diploma of Financial Plannin - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute |
| Stephen Baird | 2008 | 2007 - Diploma of Financial Services ( Financial Planning ) - Diploma (AQF 5) - Tribeca ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan |
| Stephen Hoyes-cock | 2013 | 2001 - Bachelor of Commerce (Management and Marketing) - Bachelor Degree (AQF 7) - Bond University ~ 2013 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2023 - Graduate diploma of financial planning - Graduate Diploma (AQF 8) - Kaplan |
| Stuart Peter Reeves | 2000 | 1994 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Monash University ~ 1994 - Bachelor of Business (Banking & Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association (FPA) |
| Tiffany Cosh | 2008 | 2008 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - FINSIA |
| Tomislav Jure Vukovic | 2018 | 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute |
| Yadvinder Singh | 2018 | 2016 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional |