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;
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;
derivatives;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Miliszewski | 2009 | 2006 - Bachelor of Commerce and International Business - Bachelor Degree (AQF 7) - Griffith University ~ 2009 - Accredited Derivatives Adviser - Diploma (AQF 5) - Kaplan Australia ~ 2013 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Kaplan Australia ~ 2015 - Advanced Diploma Financial Planning FNS60410 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2019 - Certified Financial Planner (CFP) - Professional Designations - FPA |
| Amanda Hui June Tang | 2017 | 2013 - Bachelor of Commerce majoring in Financial Planning and Accounting - Bachelor Degree (AQF 7) - Griffith University |
| Amber Petriece Stevenson | 2004 | 2008 - Advanced Diploma of Financial Planning - - PS146 Training Australia ~ 2008 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2014 - Accredited Listed Product Adviser Program - - Kaplan Professional Education |
| Amy Kathleen Glanvill | 2006 | 2001 - Bachelor Of Business - - Charles Sturt University ~ 2007 - Diploma Of Financial Services (Financial Planning) - - FINSIA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Andrew Barrett | 2018 | 2018 - Diploma of Financial Planning - - Kaplan Professional |
| Andrew Douglas Bennett | 1992 | 1986 - Diploma of Life Insurance - - Australian Insurance Institute ~ 1992 - Bachelor of Business - - USQ ~ 1998 - Graduate Diploma of Applied Finance & Investment - Graduate Diploma (AQF 8) - FINSIA ~ 1999 - CFP - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Ben Woolvett | 2004 | 2002 - Bachelor of Economics - - Adelaide University ~ 2006 - Advanced Diploma of Financial Services - - Tribeca Learning ~ 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca Learning ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Benjamin Charles Jones | 0 | 2023 - Commerce - Bachelor Degree (AQF 7) - Deakin |
| Callum Dale Newell | 2023 | 2021 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of New England |
| Cameron Pereira | 2005 | 2010 - Graduate Diploma of Financial Planning - - Kaplan Professional ~ 2010 - Master of Applied Finance - - Kaplan Professional ~ 2011 - ASX Accredited Listed Products Adviser (ALPA) Program - - Kaplan Professional ~ 2011 - Margin lending and Geared Investments - - Kaplan Professional ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional |
| Carlo Santos | 0 | 2020 - Commerce - Bachelor Degree (AQF 7) - Griffith |
| Claudio DI Giovanni | 1995 | 1993 - Bachelor of Economics - - Flinders University - SA ~ 2001 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2001 - Diploma of Financial Planning - - Deakin University - Vic ~ 2015 - Kaplan - Ongoing Continuing Education Program - - Kaplan Australia |
| Craig Abela | 2008 | 2008 - Diploma of Financial Services (financial Planning) - - PINNACLE FINANCIAL SERVICES ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Craig Ronald Burling | 2005 | 2004 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Estate Planning - - Kaplan Professional ~ 2013 - Taxation Essentials - - Kaplan Professional ~ 2014 - Client Engagement Strategies - - Kaplan Professional ~ 2017 - Self Managed Superannuation Funds - - Kaplan Education Pty Ltd |
| David Alan Black | 2014 | 2010 - Bachelor of Economics (International Trade & Finance) - - University of Queensland ~ 2012 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education ~ 2013 - Master of Applied Finance - - Kaplan ~ 2017 - CFP - Certified Financial Planner - - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| David Murray | 1994 | 1991 - bachelor of business - - Victoria University ~ 1999 - diploma financial planning - - deakin university ~ 2003 - self managed super funds - - integratec ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| David Peter Layton | 1992 | 2000 - Diploma of Financial Planning - Diploma (AQF 5) - FPA ~ 2000 - Diploma of Financial Services (Financial Planning) - - Deakin University ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Dominic Mark Mulcahy | 1998 | 1995 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Tasmania ~ 1999 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2000 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2012 - ASX Accredited Listed Products - - Kaplan Professional Education ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Duncan Gillies Macgill | 2017 | 1997 - Bachelor of Commerce and Law - - University of Tasmania ~ 2002 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2017 - Accredited Listed Product Adviser Program - - Kaplan Professional Education ~ 2017 - Tier 1 Margin Lending - Personal Advice - - Kaplan Professional Education ~ 2019 - self managed super funds - - smsf association |
| Gregory Duff | 2014 | 2010 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University |
| Ian John Davidson | 1988 | 1982 - Bachelor of Commerce - - The University of Queensland ~ 1999 - Certified Financial Planner Program (CFP) - - Financial Planning Association of Australia ~ 2000 - Chartered Accountant - Financial Planning Specialist - - The Institute of Chartered Accountants in Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2016 - Self Managed Superannuation Funds - - Kaplan Professional |
| James Sali | 2015 | 2013 - Griffith University - - Bachelor of Commerce ~ 2018 - Certified Financial Planner - - Financial Planning Association ~ 2018 - self managed superannuation funds - - kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jarrad Page | 2013 | 2011 - Bachelor of Commerce (Financial Planning Major) - - Griffith University ~ 2015 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2020 - Ethics and professionalism in Fin advice - Bridging Course - Ethics - kaplan |
| Jenna Wheeler | 2009 | 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Other - Kaplan Professional ~ 2021 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Jessica Abbey Just | 2024 | 2022 - commerce - Bachelor Degree (AQF 7) - Griffith |
| Jock Timothy Donald Calvert | 2024 | 2021 - business - Bachelor Degree (AQF 7) - UTAS ~ 2022 - financial advising - Graduate Diploma (AQF 8) - utas |
| Jordan Daniel Mcmahon | 2024 | 2019 - Commerce - Bachelor Honours Degree (AQF 8) - Griffith University ~ 2023 - ethics and professionalism - Bridging Course - Ethics - kaplan |
| Kane Alan Quickensted | 2008 | 2007 - Bachelor of Commerce (Economics, Finance and Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2014 - Certified Financial Planner - - Financial Planning Association of Australia |
| Luke Butcher | 2021 | 2019 - Bachelor Of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Luke William Roberts | 2005 | 2003 - Bachelor Of Economics - - University Of Tasmania ~ 2006 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - FINSIA ~ 2011 - Margin Lending - - Pinnacle Financial Services Academy ~ 2012 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan |
| Matthew Lewis | 2007 | 2003 - Bachelor of Business (Sport Management) - - Griffith University ~ 2011 - Advanced Diploma Financial Services (Financial Planning) - - Kaplan ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2011 - Self Managed Super Funds - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Michelle Anne Johns | 2003 | 2004 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca Learning ~ 2017 - CFP - - CFP ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University |
| Neva Varnik | 2008 | 2001 - BBus (Accountancy) - - RMIT University ~ 2006 - Diploma of Financial Planning - - Finsia Education ~ 2006 - Graduate Diploma (ICAA) - - The Institute of Chartered Accountants ~ 2017 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Nicholas John Duffy | 2023 | 2021 - Bachelor of Business (Finance) / Bachelor of Laws (Honours) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education |
| Nicholas Molloy | 2002 | 1993 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Nicole Damro | 2014 | 2001 - Bachelor of Arts (Japanese) - - Griffith University ~ 2001 - Bachelor of Business - - Griffith University ~ 2012 - Diploma of Financial Planning - - International Institute of Technology ~ 2013 - Advanced Diploma of Financial Planning - - International Institute of Technology ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Nicole Florisson | 2008 | 2006 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Tasmania ~ 2007 - Taxation Planning Certificate - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2008 - Diploma of Financial Planning FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2010 - Certified Financial Planner Status (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2022 - Ethics & Professionalism in Financial Advice FPC002B - Bridging Course - Ethics - Kaplan Australia |
| Peter John Stevenson | 2001 | 2005 - Self Managed Superannuation Funds - - Tribeca Learning ~ 2010 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2014 - Accredited Listed Product Adviser Program - - Kaplan Professional Education ~ 2017 - Masters of Applied Finance - Masters Degree (AQF 9) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Philip Gerard Layton | 1999 | 1996 - Bachelor of Business (Economics) - - Queensland University of Technology ~ 2008 - Diploma of Financial Services - - Kaplan ~ 2011 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association ~ 2013 - Advanced Diploma of Financial Planning - - International Institute of Technology ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Raquel Netto | 2008 | 2008 - Bachelor Of Commerce - - Monash University ~ 2008 - Diploma Of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Rebecca Anne Brett | 2017 | 2016 - Diploma of Financial Planning - - Kaplan ~ 2019 - Master of Applied Finance (Financial Planning) - Masters Degree (AQF 9) - Charles Sturt University |
| Ross Potter | 2009 | 2003 - Bachelor of Laws - Bachelor Degree (AQF 7) - University of Aberdeen ~ 2004 - Master of Arts - Masters Degree (AQF 9) - University of Aberdeen ~ 2013 - Diploma of Financial Planning FNS50611 - Diploma (AQF 5) - Kaplan Australia ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2019 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) |
| Samuel Bryant | 2023 | 2022 - Commerce - Bachelor Degree (AQF 7) - Griffith |
| Sena Amanda Pona | 2022 | 2020 - Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Griffith University |
| Simon Parker | 2015 | 2013 - Bachelor of Business (Management) - - University of Queensland ~ 2014 - Diploma of Financial Planning - - Monarch Institute ~ 2015 - Advanced Diploma of Financial Planning - - Monarch Institute ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Steven Stubberfield | 1989 | 1981 - Bachelor of Business (Accounting) - - La Trobe University ~ 2000 - Financial Planning Specialist - - CPA Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2013 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Timothy Robert Ford | 2003 | 1994 - Bachelor of Business - - RMIT University ~ 2001 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2008 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Todd Alexander Hammond | 1995 | 2004 - Diploma of Financial Advising - - Deakin University ~ 2007 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Todd Charnas | 2000 | 1993 - Bachelor of Business - - La Trobe University ~ 2012 - Margin Lending - - Kaplan ~ 2013 - Practice of Risk Management (PRM) - - Integrity Education Group Pty Ltd ~ 2013 - Practice of Self Managed Super Funds - - Integrity Education Group Pty Ltd ~ 2014 - Diploma of Financial Planning - - Integrity Education |
| Vincenzo Mario Fusti | 1997 | 2001 - Diploma of Financial Planning - - Deakin University ~ 2002 - Certified Financial Planner - - Deakin University ~ 2004 - Bachelor of Business - - Monash University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |