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 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2014 - Advanced Diploma of Financial Planning - - International Institute of Technology ~ 2016 - Accredited Listed Product Adviser Program - - Kaplan Professional |
| Adam John Sutherland Kennedy | 2005 | 1999 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2005 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2006 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2011 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Professional ~ 2014 - SMSF Accredited Specialist - Professional Designations - Colonial First Tech |
| Adem Becirevic | 2007 | 1994 - Bachelor of Business - Bachelor Degree (AQF 7) - Deakin University ~ 1999 - Superannuation and Retirement Planning - - CPA ~ 2004 - Risk Management - - Tribeca ~ 2005 - Self Managed Super Fund Course - - Tribeca ~ 2013 - ASX Securities - - Kaplan |
| Allan Gregory Dowsett | 1989 | 1997 - Industry Standard Education - RG146 specialist knowledge - - Financial Planning Association of Australia (FPA) |
| Andrew Brian Potts | 2014 | 2012 - Bachelor of Business - - Victoria University ~ 2014 - Diploma of Financial Planning - Bachelor Degree (AQF 7) - Investment Banking Institute ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Andrew Mark Smith | 2005 | 2005 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute Australia ~ 2007 - ASX Listed Products Accreditation course - - ASX & Savings Factory ~ 2007 - Financial Essentials Self-Managed Superannuation Fund - Certificate (AQF 1-4) - Financial Essentials ~ 2015 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Andrew Scott Nuske | 2007 | 2002 - Bachelor of Accountancy - - University of South Australia ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Education Pty Limited |
| Annastasia Eleni Hibberd-keyzers | 2017 | 2017 - Diploma Financial Planning - - International Institute of Technology ~ 2018 - Principles of Self-Managed Superannuation Funds - Certificate (AQF 1-4) - International Institute of Technology ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Antony Sackman | 2012 | 2010 - Diploma of Financial Markets - Diploma (AQF 5) - Hubb Financial Institute ~ 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2015 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Griffith University |
| Ben Growden | 2018 | 1996 - Bachelor of Accounting (Commerce) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group |
| Brad Andrew Gunn | 2006 | 1981 - Bachelor of Economics - - University of Queensland ~ 2006 - Diploma of Financial Services (Financial Planning) - - PS 146 ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2017 - SuperConcepts & ICFS Specialist SMSF Course - - The University of Adelaide |
| Brad Lee Donaldson | 2011 | 1998 - Bachelor of Commerce - - University of Western Sydney ~ 2011 - Certificate IV Financial Services (Finance/Mortgage Broking) - - Kaplan Professional ~ 2011 - Diploma of Financial Services (Financial Planning) - - Tribeca |
| Clinton James Christoff | 2003 | 1999 - Bachelor of Commerce - - University of Newcastle ~ 2004 - Diploma of Financial Markets - Diploma (AQF 5) - Securities Institute ~ 2012 - Advanced Diploma Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan |
| Dahl Andrew Drew | 2002 | 2005 - Diploma of Financial Advising - - Securities Institute |
| Demetre Bivoltsis | 2003 | 2004 - Diploma Of Financial Services ( Financial Planning) - - Kaplan ~ 2005 - Fellow - - FINSIA ~ 2008 - Fellow CIP - - Australia and New Zealand Institute of Insurance and Finance ~ 2014 - Tax (Financial) Adviser - - Tax Practitioners Board |
| Derek Michael Murphy | 2011 | 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2007 - Diploma of Financial Services (Finance/Mortgage Broking Management) - - Plan Connect |
| George Peat | 2018 | 2018 - Diploma of Financial Planning - - Mentor |
| Jason Patrick O'connell | 2018 | 2014 - QFA Diploma in Financial Advice - - Institute of Banking University College of Dublin ~ 2018 - RO4 U.K. Pension and Retirement Planning - - Chartered Institute Insurance UK ~ 2018 - Self Managed Superannuation Fund Adviser - - Mentor Education ~ 2019 - Advanced Diploma of Financial Planning (FNS60415) - Advanced Diploma (AQF 6) - Mentor Education ~ 2019 - Pension Transfers & Planning Advice - - Chartered Institute for Securities and Investment |
| Jeffrey John | 2014 | 1984 - Bachelor of Arts - - Monarch University ~ 1988 - Bachelor of Laws - - University of Tasmania ~ 1997 - Arbitration & Mediation Certificate - - Bond University ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute |
| Laurence Bonnici | 2000 | 1989 - Bachelor of Business (Accounting) - - Footscray Institute of Technology ~ 2000 - Financial Planning & Wealth Creation - - Securities Institute ~ 2001 - Superannuation: Advice & Regulation, Risk Management & Insurance Products - - Securities Institute ~ 2003 - Fundamentals of Securities, Derivatives & Advising Practice - - Securities Institute ~ 2016 - Diploma of Financial Planning - - Mentor Education |
| Lavina Paul | 2016 | 2010 - Diploma of Financial Planning - - Mentor ~ 2015 - Advanced Diploma of Financial Planning - - Mentor ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN Professional ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - KAPLAN Professional |
| Leslie John Brown | 2022 | 2018 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Griffith University ~ 2021 - Ethics and Professionalism in Financial Advice - Certificate (AQF 1-4) - Kaplan |
| Lisa Voysey | 2018 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - FINSIA ~ 2018 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - 2022 |
| Marc Douglass Banvill | 2001 | 2003 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2010 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2013 - ASX Accredited Listed Products Adviser - - Kaplan Professional Education |
| Mark Alexander Finlay | 1982 | 1998 - Diploma of Financial Planning - - Financial Planning Association ~ 2011 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology |
| Mark Jeremy Baldwin | 2016 | 2016 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2017 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2017 - Tier 1 Margin Lending - Personal Advice - - Kaplan Professional ~ 2018 - TASACLv2 Commercial Law - - Kaplan Professional |
| Mark Plummer | 2018 | 2018 - Diploma Financial Planning - - Kaplan ~ 2018 - Self-Managed Superannuation Funds - - Kaplan |
| Mark Tyminski | 1996 | 1996 - Diploma of Financial Planning - - Deakin University ~ 2001 - Certified Financial Planner Program - - Financial Planning Association of Australia (FPA) ~ 2007 - Professional Certificate in Self-Managed Superannuation - - The University of Adelaide ~ 2008 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association ~ 2022 - Accredited Aged Care Professional - Professional Designations - Aged Care Steps |
| Michael Leonard Henaghan | 2013 | 1991 - Bachelor of Commerce - - University of the Witwatersrand, Johannesburg ~ 2003 - Master of Business Administration - - The University of Manchester ~ 2007 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy Pty Ltd |
| Michael Ozga | 2014 | 2013 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2014 - Diploma of Financial Planning - - International Institute of Technology ~ 2017 - Principles of Self Managed Superannuation Funds - - International Institute of Technology |
| Natasha Johnson | 2016 | 2013 - Bachelor of Financial Planning/Bachelor of Accounting - Bachelor Degree (AQF 7) - Central Queensland University ~ 2016 - CFP Designation Program - Professional Designations - FAAA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Neil Bruce Stafford | 1997 | 2001 - Diploma Financial Planning - - Financial Planning Association of Australia (FPA) ~ 2004 - Certified Financial Planner - - Financial Planning Association of Australia (FPA) ~ 2010 - Margin Lending & Geared Investments - - Kaplan |
| Patrick Shannon Reidy | 2015 | 2015 - Diploma of Financial Planning - - Kaplan |
| Robert Edward Coyte | 2000 | 1996 - Bachelor Of Commerce - - University of Newcastle ~ 1999 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute of Australia |
| Ruby Ranvir Singh Aujla | 2017 | 2014 - Bachelor of Business and Commerce (Marketing) - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Samantha Jane Geelan | 2004 | 2010 - Advanced Diploma Financial Planning - - Kaplan ~ 2011 - Graduate Certificate of Applied Finance - - Kaplan Professional ~ 2015 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2017 - Accredited Aged Care Professional - - Aged Care Steps ~ 2017 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Sanjay Singh | 2001 | 2003 - Investment Planning 1 - Other - Integratec ~ 2006 - Investment Planning 2 - Other - Tribeca ~ 2013 - Diploma of Financial Planning - - Pinnacle Financial Services Academy |
| Scott Farrant | 1995 | 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association |
| Scott Palmer | 2016 | 2000 - Bachelor (Hons) of Financial Services - Bachelor Honours Degree (AQF 8) - University of Northumbria at Newcastle ~ 2003 - Masters of Global Financial Management - Masters Degree (AQF 9) - University of Northumbria at Newcastle ~ 2014 - Advanced Diploma in Financial Planning - Advanced Diploma (AQF 6) - Chartered Insurance Institute |
| Stephen Owen | 2017 | 2004 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2024 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Steven James Wood | 2007 | 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2016 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - Kaplan Professional |
| Wayne Bemet | 2018 | 2018 - Diploma of Financial Planning - - Monarch Institute |
| Wayne Edwin Lear | 1982 | 2006 - SMSF Specialist Adviser - - SMSF Association ~ 2006 - SMSF Specialist Advisor - - Self Managed Super Fund Association ~ 2018 - Trust and Estate Practitioner - Professional Designations - Society of Trust and Estate Practitioner ~ 2020 - Master of Financial Planning (Dean's Merit List) - Masters Degree (AQF 9) - Deakin University |