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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; 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
financial products limited to:
miscellaneous financial investment products 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;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Albeth Herbias | 2015 | Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Business - Victoria University ~ Diploma of Financial Planning - Mentor ~ Self Managed Superannuation Funds - Mentor Education |
| Alexandra Mary Booth | 2018 | Bachelor of Commerce - Curtin University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Arin Doig | 2018 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business (Accounting) - James Cook University ~ Diploma of Financial Planning - Kaplan |
| Benjamin Stafford Whitwell | 2000 | ASX Listed Product Accreditation Course - LPAC Online ~ Certified Financial Planner - Deakin University ~ Diploma of Financial Planning - Deakin University ~ Margin Lending - Kaplan Professional Education |
| Brandon Hyunwoo Jeon | 0 | Bachelor of Economics in Economics and Finance - University of NSW ~ Graduate Diploma of Financial Planning - Deakin University |
| Brodie Elise Hill | 2018 | Advanced Diploma Financial Planning - Kaplan ~ Bachelor of Business - QUT ~ Master of Business - QUT |
| Daniel Friend | 2006 | Advanced Diploma of Financial Planning - PS146 Training Australia ~ Bachelor of Commerce - Griffith University ~ Diploma of Financial Planning - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Daniele Fochesato | 2010 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Bachelor of Business (Finance) - Charles Sturt University (CSU) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| David Armour | 1996 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Economics - University of Newcastle ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| David John Bannister | 1987 | Bachelor of Business (Finance) - Swinburne University ~ Diploma in Applied Finance and Investment - Securities Institute of Australia |
| David Kovac | 2006 | Bachelor of Commerce (accounting and financial planning) - Deakin University |
| David Simon | 2001 | Bachelor of Commerce - Macquarie University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - FINSIA ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| David Wilcock | 1999 | Bachelor of Commerce - University of QLD ~ Certificate in Specialist SMSF Advice - Pinnacle ~ DPML Margin Lending - Pinnacle ~ Graduate Diploma of Financial Planning - Securities Institute |
| Elizabeth Jane Dean | 2017 | Accredited Derivatives Adviser - ASX ~ Advanced Diploma of Financial Planning FNS60415 - Kaplan Training ~ Diploma of Financial Services NS50804 - Kaplan Training ~ Master of Applied Finance - Macquarie University ~ SMSF Funds - Kaplan Training |
| Jacqueline Desley Crane | 2018 | Bachelor of Business - Queensland University of Technology (QUT) ~ Diploma of Financial Planning - Mentor Education |
| James Thomas Hepburn | 2022 | Financial Planning - Griffith University ~ Masters of Financial Planning - Griffith University |
| John Christopher Thwaites | 2009 | Bachelor of Business and Commerce - Monash University ~ Diploma of Financial Services - Mentor Education |
| Josephine Amy Sheppard | 2023 | Bachelor Applied Finance - Macquarie University ~ Grad Dip Financial Planning - Kaplan Professional |
| Joshua David White | 2018 | Bachelor of Commerce - University of Canberra ~ Diploma of Financial Planning - Kaplan |
| Kurt Francis Smyth | 1994 | Certificate in Financial Markets - Securities Institute of Australia ~ FASEA Exam Online Study Program - myIntegrity in Practice (my IP) ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia ~ Margin Lending and Geared Investments - Kaplan ~ PS146 Gap Training - Securities Institute of Australia |
| Ling Erin YI | 2012 | Bachelor of Commerce (Accounting) - Griffith University ~ Master of Commerce (Financial Planning) - Griffith University ~ SMSF Accreditation - Kaplan |
| Luke Ranson | 2001 | Bachelor of Commerce - Griffith University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services - AMP Financial Services ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Masters of Financial Planning - University of the Sunshine Coast |
| Marc Smith | 1999 | Bachelor of Business (Economics) - Queensland University of Technology ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Martin Cameron Caramians | 2017 | Diploma of Financial Advising - FINSIA ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma Applied Finance - FINSIA ~ Master of Applied Finance - Macquarie University ~ Self Managed Superannuation Funds - Kaplan |
| Matthew Steptoe | 1999 | Advanced Diploma in Self Managed Superannuation Funds - Investment Banking Institute ~ Advanced Diploma of Financial Planning - Investment Banking Institute ~ Bachelor of Arts (Government Studies) - Edith Cowan University ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Investment Banking Institute |
| Matthew William Brown | 2004 | Advanced Diploma of Financial Planning - Mentor Education ~ Estate Planning - MLC ~ MLFNS - Principles of Margin Lending - International Institute of Technology ~ Risk Specialist - MLC ~ Self Managed Superannuation Funds - Financial Education Professionals |
| Nathan William Nash | 2003 | Bachelor of Commerce (Accounting and Finance) - Australian National University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Self Managed Superannuation Funds - Kaplan |
| Onur Ibrahim Kinali | 2002 | Bachelor of Science - University of Melbourne ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Patrick Duke | 2007 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Master of Financial Planning - Griffith University ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Paul Argentino | 2009 | Diploma of Financial Services - Mentor Education |
| Robyn Joy Sayers | 2002 | Bachelor of Commerce - University of NSW ~ Margin Lending & Geared Investments - Kaplan Professionals |
| Ronald Paul Sayers | 2002 | Bachelor of Economics - Australian National University ~ Margin Lending & Geared Investments - Kaplan Professional ~ Policy Statement 146 Knowledge Assessment - Tribeca ~ Risk Management - Tribeca |
| Scott Betterridge | 2004 | Diploma of Financial Markets - Finsia ~ Investment Planning 1 - Tribeca ~ RG146 - Kaplan ~ Risk Management - Tribeca ~ Superannuation & Retirement Planning - Tribeca |
| Thomas Cotter | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Advanced Diploma of Financial Services - Kaplan Professional ~ Bachelor of Business (Accounting/Economics and Regional Development) - James Cook University ~ Bachelor of Business - James Cook University ~ CFP - Certified Financial Planner - FPA ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional Education ~ Tier 1 Margin Lending - Kaplan |
| Timothy Holt | 2016 | Generic Knowledge - Financial Education Professionals Pty Ltd ~ Managed Investments - Financial Education Professionals Pty Ltd ~ Securities - Financial Education Professionals Pty Ltd |