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;
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; 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:
interests in managed investment schemes 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;
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 |
|---|---|---|
| Aaron Patrick Fogarty | 2017 | 2003 - Bachelor of Farm Management - - University of Sydney ~ 2016 - Master of Commerce (Professional Accounting) - - University of New England ~ 2017 - Diploma of Financial Planning - - Mentor Education |
| Alan Harold Klein | 2004 | 2006 - Advanced Diploma of Financial Services (FinancialPlanning) FNS 60404 - - Kaplan Professional Education ~ 2010 - Certified Financial Planner 4 - - FPA ~ 2014 - Certificate IV Finance and Mortgage Broking FNS40811 - - AAMC Training Group ~ 2015 - Self Managed Superannuation Funds - - Mentor Education ~ 2017 - RG146 Tier 1 Specialist Margin Lending Course - - International Institute of Technology |
| Alex O'neill | 2014 | 2007 - Bachelor of Business (International Business) - - University of the Sunshine Coast (USC) ~ 2014 - Diploma of Financial Planning - - Integrity Education Group ~ 2017 - Self Managed Super Funds - Other - Integrity ~ 2020 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Alison Joy Lees | 2017 | 2007 - Bachelor of Arts/Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2010 - Graduate Diploma of Chartered Accounting - Graduate Diploma (AQF 8) - Institute of Chartered Accountants ~ 2017 - Diploma in Financial Planning - Diploma (AQF 5) - International Institute of Technology (IIT) ~ 2020 - FPC002B Ethic & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional |
| Andrew Phillip Morrison | 2016 | 2002 - Bachelor of Business - - CSU ~ 2016 - RG146 - Generic Knowledge, Superannuation and SMSF - - CPA Australia |
| Angela Gay Wheatley | 2016 | 1997 - Bachelor of Commerce Accounting - - Curtin Universityof Technology ~ 2010 - Registered Tax Agent - - Tax Practitioners Board ~ 2011 - SMSF Strategies Specialist SMSF Adviser Training - - Terra Cordis Pty Ltd ~ 2018 - Diploma of Financial Planning - - International Institute of Technology |
| Beau Mathew Gregory Lancaster | 2015 | 2014 - Diploma of Financial Planning - - Mentor Education ~ 2016 - /self Managed Superannuation Funds - - Kaplan ~ 2016 - Advance Diploma of Financial Planning - - Mentor Education ~ 2016 - Advanced Diploma of Financial Planning - - Mentor Education |
| Bernadette Anne West | 2007 | 1998 - Bachelor of Commerce - - Australian National University ~ 2007 - Advanced Diploma of Financial Services(FNS60404) - - Mentor ~ 2011 - Diploma of Financial Planning(FNS50804) - - CPA Australia ~ 2013 - Self Managed Superannuation Funds - - Kaplan |
| David Lennon | 2003 | 1994 - Bachelor of Business - - Edith Cowan University ~ 2015 - Superannuation & SMSF's Certificate of Completion - - Kaplan Professional ~ 2016 - Diploma in Financial Planning - - Kaplan Professional |
| Dean Morris | 2024 | 2021 - Bachelor of Business/Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Gregory Politis | 2004 | 1994 - Associate Diploma in Business (Accounting) - - Hunter Institute of Technology ~ 1998 - Bachelor of Commerce (Accounting) - - University of Newcastle ~ 2003 - Diploma of Financial Planning - - Deakin University ~ 2006 - CFP Education Program - Professional Designations - Financial Planning Association of Australia ~ 2010 - Self Managed Superannuation Funds Statement of Attainment - - Kaplan Education |
| Guy Timothy Williams | 2015 | 2007 - Graduate Certificate in Finance and Investments - Graduate Certificate (AQF 8) - FINSIA ~ 2008 - Graduate Diploma of Applied Finance and Investments - Graduate Diploma (AQF 8) - FINSIA ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2016 - Self Managed Super Funds - Other - AAMC Training Group |
| Jack Bartholomew Sharpe | 2023 | 2019 - Bachelor of Mathematics - Bachelor Degree (AQF 7) - University of Newcastle ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Jennifer Karen Woods | 2018 | 1985 - Bachelor of Economics - - Macquarie University ~ 2016 - Statement of Attainment Superannuation and Self Managed Superannuation Funds - - Kaplan Professional ~ 2017 - Diploma of Financial Planning - - Kaplan Professional |
| Jon Stuart Fletcher | 2016 | 1984 - Bachelor of Commerce - - University of Wollongong ~ 2015 - Diploma of Financial Planning - - Mentor Education ~ 2015 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education |
| Joshua Anthony Cremona | 2018 | 2015 - Bachelor of Commerce - Professional Accounting - - Macquarie University ~ 2018 - Diploma of Financial Planning - - International Institute of Technology ~ 2018 - Principles of Self Managed Superannuation Funds - - International Institute of Technology |
| Karen Liane Ridge | 2016 | 1999 - Bachelor of Economics (Accounting) - - Macquarie University ~ 2011 - SMSF Specialist Advisor - - Self Managed Super Fund Association ~ 2016 - Diploma of Financial Planning - - International Institute of Technology |
| Linda Joy Kowalke | 2017 | 1997 - Advanced Certificate in Management - - TAFE NSW ~ 2009 - Advanced Diploma of Accounting - - TAFE NSW ~ 2013 - Master of Commerce (Professional Accounting) - - University of New England ~ 2016 - Diploma in Financial Planning - - International Institute of Technology ~ 2016 - Principles in Self Managed Superannuation Funds - - International Institute of Technology |
| Marcus Gerard Walsh | 2003 | 2001 - Bachelor Commerce (Banking & Finance) - Bachelor Degree (AQF 7) - University of Canberra ~ 2008 - Advanced Diploma Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2008 - Diploma Financial Services (Financial Planning) FNS5080 - Diploma (AQF 5) - Kaplan Australia ~ 2020 - Tier 1 Margin Lending - Personal Advice - Diploma (AQF 5) - Kaplan |
| Marissa Ann Bennett | 2017 | 1991 - Bachelor of Business - - Edith Cowan University ~ 2005 - Masters of Taxation - - University of New South Wales ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Superannuation & SMSF Statement of Attainment - - Kaplan Professional |
| Mark Joseph Valencic | 2013 | 1994 - Master of Accountancy - - Charles Sturt University ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2013 - Diploma in Financial Planning - - Kaplan Professional |
| Mary-anne Leonie Inglis | 2016 | 2002 - CPA - - CPA Australia ~ 2010 - Registered Tax Agent - - Tax Practitioners Board ~ 2011 - SMSF Strategies Specialist SMSF Adviser Training - - Terra Cordis Pty Ltd ~ 2016 - Module 1 Financial Advice Foundation - - CPA Australia ~ 2018 - Diploma of Financial Planning - - International Institute of Technology |
| Nader Gariban | 2017 | 1999 - Bachelor of Commerce (Accounting) - - University of Western Sydney ~ 2006 - CPA Program - - Deaking University ~ 2012 - Diploma of Financial Services (Financial Planning) - - Intellitrain ~ 2017 - Principles of Self Managed Superannuation Funds Certificate - - International Institute of Technology (IIT) |
| Neil William Marshall | 2016 | 1992 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Newcastle NSW ~ 2016 - Diploma of Financial Planning - Other - International Institute of Technology ~ 2016 - Principles in Self Managed Superannuation Funds - Other - International Institute of Technology ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Nicholas Wayne Spencer | 2016 | 2005 - Bachelor Of Commerce - - University of Tasmania ~ 2013 - SMSF Specialist - - Integrity Education Group ~ 2014 - SMSF Specialist Advisor - - SMSF Association ~ 2015 - Diploma of Finanical Planning - - Integrity Education Group |
| Peter Douglas Maundrell | 2004 | 2003 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2003 - Diploma of Financial Planning - - Financial Planning Association of Australia Limited ~ 2015 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Peter Rizomiliotis | 2016 | 1994 - Bachelor of Business (Accounting) - - Victoria University ~ 2004 - Foundation Diploma of Financial Planning - - Financial Planning Association of Australia Ltd ~ 2016 - Diploma of Financial Planning - - International Institute of Technology ~ 2016 - Principles in self Managed Superannuation Funds - - International Institute of Technology |
| Peter Scioscia | 2003 | 1984 - Bachelor of Commerce - - University of Wollongong ~ 2018 - Diploma of Financial Planning - - International Institute of Technology ~ 2018 - Principles in Self Managed Superannuation Funds - - International Institute of Technology |
| Philip Alexander Smith | 2017 | 1995 - CPA - - CPA Australia ~ 2010 - Registered Tax Agent - - Tax Practitioners Board ~ 2017 - Diploma of Financial Planning - - International Institute of Technology ~ 2017 - Principles of Self-Managed Superannuation Funds - - International Institute of Technology |
| Renae Anne Wilson | 2018 | 2009 - Bachelor of Commerce with a major in Financial Accounting - - The University of Newcastle ~ 2018 - Diploma of Financial Planning - - Mentor Education ~ 2018 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education |
| Rhonda Annette Futterleib | 2017 | 1986 - Bachelor of Economics - - Macquarie University ~ 2016 - Diplom in Financial Planning - - Kaplan Professional ~ 2017 - Self Managed Superannuation Funds Statement of Attainment - - Kaplan Professional |
| Ritesh Shankar | 2006 | 1999 - Bachelor of Commerce - - University Of Wollongong ~ 2010 - Margin Lending - - Pinnacle ~ 2011 - Diploma of Financial Services (Finance/Mortgage Broking Management) - - AAMC ~ 2013 - Self Managed Super Fund Course - - Kaplan |
| Sally Elizabeth Callen | 2016 | 1993 - Bachelor of Commerce - - The University of Newcastle ~ 2002 - Master of Taxation - - The University of NSW ~ 2016 - Diploma of Financial Planning - - International Institute of Technology ~ 2016 - Specialist Self Managed Superannuation Funds Course - - International Institute of Technology |
| Salvatore Santoro | 2018 | 1996 - Certified Practising Accountant - - CPA Australia ~ 2015 - SMSF - - Pinnacle Financial Services Academy ~ 2018 - Derivatives - - International Institute of Technology ~ 2018 - Diploma of Financial Planning - - International Institute of Technology ~ 2018 - Securities - - International Institute of Technology |
| Sam Martin Mcgregor | 2024 | 2021 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Samuel Thomas Glover | 2024 | 2021 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Scott Albert Millson | 2002 | 1999 - Bachelor of Business (Financial Planning) - - RMIT ~ 2001 - Certified Financial Planner - - FPA ~ 2022 - SuperConcepts & ICFS Specialist SMSF - Advanced Diploma (AQF 6) - SuperConsepts |
| Shane Matthew Mcgrath | 2016 | 2002 - Bachelor of Commerce - - University of Newcastle ~ 2004 - Certified Practising Accountant - - CPA ~ 2015 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education ~ 2016 - Diploma of Financial Planning - - Mentor Education |
| Stewart David Temesvary | 2017 | 1981 - Bachelor of Economics - - Sydney University ~ 1985 - Chartered Accountant - - Institute of Chartered Accountants Australia & New Zealand ~ 2017 - Diploma of Financial Planning - - International Institute of Technology (IIT) ~ 2017 - Principles in Self Managed Superannuation Funds - - International Institute of Technology (IIT) |
| Stuart Thomas Wolfe | 2006 | 2006 - Bachelor of Commerce - - University of Newcastle ~ 2008 - Diploma of Financial Services (Financial Planning) - - Finsia Education ~ 2010 - Margin Lending & Geared Investments Statement of Attainment - - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds Statement of Attainment - - Kaplan Professional ~ 2019 - Master of Taxation - - Curtin University |
| Timothy Michael Jennings | 2012 | 2012 - Diploma of Financial Services - - Intellitrain ~ 2014 - Diploma of Finance and Mortgage Broking Management - - The National Finance Institute ~ 2016 - Master of Business - - The University of Newcastle Australia |
| Turgay Gungor | 2015 | 1996 - Bachelor of Business - - Edith Cowan University ~ 2015 - Diploma of Financial Planning - - Mentor Education ~ 2015 - Specialist Self Managed Superannuation Fund - - Mentor Education |
| Tye Walter Olsen | 2017 | 2009 - Bachelor of Commerce (Financial Accounting) - - The University of Newcastle Australia ~ 2012 - Diploma of Financial Services (Mortgage Broking) - - The National Finance Institute ~ 2016 - Diploma of Financial Planning - - Kaplan |
| William Ambrose Kelly | 2017 | 1993 - Bachelor of Business (Accounting) - - Deakin University ~ 2017 - Diploma of Financial Planning - - International Institute of Technology (IIT) ~ 2017 - Specialist SMSF Certificate - - International Institute of Technology (IIT) |