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;
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;
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;
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 James Gillespie | 2012 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Planning - International Institute of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Adam John Sutherland Kennedy | 2005 | Bachelor of Business Accounting - QUT ~ Graduate Applied Finance & Investment - Securities Institute of Australia ~ Graduate of Financial Planning - FINSIA ~ Margin Lending - Kaplan ~ SMSF Accredited Specialist - Colonial FirstTech |
| Adem Becirevic | 2007 | ASX Securities - Kaplan ~ Bachelor of Business - Deakin University ~ Risk Management - Tribeca ~ Self Managed Super Fund Course - Tribeca ~ Superannuation and Retirement Planning - CPA |
| Allan Gregory Dowsett | 1989 | Industry Standard Education - RG146 specialist knowledge - Financial Planning Association of Australia (FPA) |
| Andrew Brian Potts | 2014 | Bachelor of Business - Victoria University ~ Diploma of Financial Planning - Investment Banking Institute ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Andrew James Meakin | 2000 | Advanced Diploma of Financial Planning - Integratec/Tribecca/Kaplan ~ Bachelor of Arts (Economics/Industrial Relations) - University of Wollongong ~ Diploma of Financial Planning - Integratec/Tribecca/Kaplan ~ Master of Business Administration - Macquarie Graduate School of Management ~ Master of Management - Macquarie Graduate School of Management |
| Andrew Mark Smith | 2005 | ASX Listed Products Accreditation course - ASX & Savings Factory ~ Financial Essentials Self-Managed Superannuation Fund - Financial Essentials ~ Graduate Diploma of Financial Planning - Securities Institute Education ~ Margin Lending and Geared Investments - Kaplan Education Pty Ltd |
| Andrew Scott Nuske | 2007 | Bachelor of Accountancy - University of South Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Limited |
| Annastasia Eleni Hibberd-keyzers | 2017 | Diploma Financial Planning - International Institute of Technology ~ Principles of Self-Managed Superannuation Funds - International Institute of Technology |
| Antony Sackman | 2012 | 7246AFE/7812GBS/7812AFE Behavioural Finance & Wealth Mgmt - Griffith University ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma of Financial Markets - Hubb Financial Institute ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Ben Growden | 2018 | Bachelor of Commerce (Accounting) - Curtin University of Technology ~ Diploma Financial Planning - Integrity Education Group |
| Brad Andrew Gunn | 2006 | Bachelor of Economics - University of Queensland ~ Diploma of Financial Services (Financial Planning) - PS 146 ~ Margin Lending and Geared Investments - Kaplan ~ SuperConcepts & ICFS Specialist SMSF Course - The University of Adelaide |
| Brad Lee Donaldson | 2011 | Bachelor of Commerce - University of Western Sydney ~ Certificate IV Financial Services (Finance/Mortgage Broking) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Clinton James Christoff | 2003 | Advanced Diploma Financial Services (Financial Planning) - Kaplan ~ Bachelor of Commerce - University of Newcastle ~ Diploma of Financial Markets - Securities Institute |
| Dahl Andrew Drew | 2002 | Diploma of Financial Advising - Securities Institute |
| Demetre Bivoltsis | 2003 | Diploma Of Financial Services ( Financial Planning) - Kaplan ~ Fellow - FINSIA ~ Fellow CIP - Australia and New Zealand Institute of Insurance and Finance ~ Tax (Financial) Adviser - Tax Practitioners Board |
| Derek Michael Murphy | 2011 | Diploma of Financial Services (Finance/Mortgage Broking Management) - Plan Connect ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Drew Claude Browne | 2002 | ADV Dip FS (Financial Planning) - International Institude of Technology ~ Certificate Margin Lending - International Institude of Technology ~ DIP Financial Services (Financial Planning) - Kings's International College ~ Statement of Attainment SMSF - International Institude of Technology |
| George Peat | 2018 | Diploma of Financial Planning - Mentor |
| Jason Mcnamara | 1998 | CFP Education Program - FPA ~ Industry Standard Education - RG146 specialist knowledge - Financial Planning Association of Australia (FPA) |
| Jason Patrick O'connell | 2018 | Advanced Diploma of Financial Planning (FNS60415) - Mentor Education ~ Pension Transfers & Planning Advice - Chartered Institute for Securities and Investment ~ QFA Diploma in Financial Advice - Institute of Banking University College of Dublin ~ RO4 U.K. Pension and Retirement Planning - Chartered Institute Insurance UK ~ Self Managed Superannuation Fund Adviser - Mentor Education |
| Jeffrey John | 2014 | Arbitration & Mediation Certificate - Bond University ~ Bachelor of Arts - Monarch University ~ Bachelor of Laws - University of Tasmania ~ Diploma Financial Planning - Monarch Insitute |
| Laurence Bonnici | 2000 | Bachelor of Business (Accounting) - Footscray Institute of Technology ~ Diploma of Financial Planning - Mentor Education ~ Financial Planning & Wealth Creation - Securities Institute ~ Fundamentals of Securities, Derivatives & Advising Practice - Securities Institute ~ Superannuation: Advice & Regulation, Risk Management & Insurance Products - Securities Institute |
| Leslie John Brown | 2022 | Bachelors of Commerce - Griffith University ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Lisa Voysey | 2018 | Graduate Diploma Financial Planning - Kaplan |
| Marc Douglass Banvill | 2001 | ASX Accredited Listed Products Adviser - Kaplan Professional Education ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Mark Alexander Finlay | 1982 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Diploma of Financial Planning - Financial Planning Association ~ Self Managed Superannuation Funds - Kaplan Professional |
| Mark Jeremy Baldwin | 2016 | Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan Professional ~ TASACLv2 Commercial Law - Kaplan Professional ~ Tier 1 Margin Lending - Personal Advice - Kaplan Professional |
| Mark Lawrence Perry | 1996 | Advanced Financial Planning - Chartered Insurance Institute ~ RG 146 Accreditation Program - Kaplan ~ SuperConcepts & ICFS Specialist SMSF online course - The University of Adelaide / SuperConcepts ~ Tier 1 Superannuation - Kaplan Professional Australia ~ UK Pension Transfer Specialist - Chartered Insurance Institute UK |
| Mark Plummer | 2018 | Diploma Financial Planning - Kaplan ~ Self-Managed Superannuation Funds - Kaplan |
| Mark Tyminski | 1996 | Accredited Aged Care Professional - Aged Care Steps ~ Certified Financial Planner Program - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning - Deakin University ~ Professional Certificate in Self-Managed Superannuation - The University of Adelaide ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| Michael Leonard Henaghan | 2013 | Bachelor of Commerce - University of the Witwatersrand, Johannesburg ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy Pty Ltd ~ Master of Business Administration - The University of Manchester |
| Michael Ozga | 2014 | Diploma of Financial Planning - International Institute of Technology ~ Diploma of Financial Planning - Kaplan Professional Education ~ Principles of Self Managed Superannuation Funds - International Institute of Technology |
| Neil Bruce Stafford | 1997 | Certified Financial Planner - Financial Planning Association of Australia (FPA) ~ Diploma Financial Planning - Financial Planning Association of Australia (FPA) ~ Margin Lending & Geared Investments - Kaplan |
| Olusesii Oduja | 2014 | Diploma of Financial Planning FNS50611 - Monarch Institute ~ Graduate Diploma Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan |
| Patrick Shannon Reidy | 2015 | Diploma of Financial Planning - Kaplan |
| Robert Edward Coyte | 2000 | Bachelor Of Commerce - University of Newcastle ~ Graduate Diploma in Applied Finance and investment (FINSIA) - Securities Institute of Australia |
| Rodney John Lingard | 2004 | Commercial Law for Tax (Financial) Advisers - AAMC Training Group ~ Diploma of Financial Planning - Mentor Education ~ Self Managed Superannuation - Mentor Education |
| Ruby Ranvir Singh Aujla | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business and Commerce (Marketing) - University of Western Sydney ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan |
| Samantha Jane Geelan | 2004 | Accredited Aged Care Professional - Aged Care Steps ~ Advanced Diploma Financial Planning - Kaplan ~ Graduate Certificate of Applied Finance - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Masters of Financial Planning - Kaplan |
| Sanjay Singh | 2001 | Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Investment Planning 1 - Integratec ~ Investment Planning 2 - Tribeca |
| Scott Farrant | 1995 | RG146 DFS(FP) 1-4 - Mixed Providers ~ RG146 Margin Lending - MLC ThreeSixty |
| Steven James Wood | 2007 | Diploma of Financial Services (Financial Planning) - Tribeca |
| Terrence Gordon Powell | 1989 | Bachelor of Business - Latrobe University Bendigo ~ Diploma of Financial Planning - Deakin University/ Financial Planning Association |
| Wayne Bemet | 2018 | Diploma of Financial Planning - Monarch Institute |
| Wayne Edwin Lear | 1982 | Master of Financial Planning (Dean's Merit List) - Deakin University ~ SMSF Specialist Adviser - SMSF Association ~ SMSF Specialist Advisor - Self Managed Super Fund Association ~ Trust and Estate Practitioner - Society of Trust and Estate Practitioner |