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 | 2009 - Bachelor of Business - - Victoria University ~ 2015 - Diploma of Financial Planning - - Mentor ~ 2017 - Accredited Aged Care Professional - - Aged Care Steps ~ 2017 - Self Managed Superannuation Funds - - Mentor Education |
| Alexandra Mary Booth | 2018 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Bachelor of Commerce - - Curtin University |
| Benjamin Stafford Whitwell | 2000 | 2002 - Diploma of Financial Planning - - Deakin University ~ 2004 - Certified Financial Planner - - Deakin University ~ 2010 - Margin Lending - - Kaplan Professional Education ~ 2014 - ASX Listed Product Accreditation Course - - LPAC Online |
| Brandon Hyunwoo Jeon | 2024 | 2020 - Bachelor of Economics in Economics and Finance - Bachelor Degree (AQF 7) - University of NSW ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University |
| Brodie Elise Hill | 2018 | 2008 - Bachelor of Business - - QUT ~ 2012 - Master of Business - - QUT ~ 2017 - Advanced Diploma Financial Planning - - Kaplan |
| Cindy Tran | 2023 | 2019 - Bachelor of Commerce Majoring in Financial Planning - Bachelor Degree (AQF 7) - Griffith University QLD ~ 2022 - Financial Adviser Exam - Other - ASIC ~ 2024 - Certified Financial Planner - Professional Designations - FAAA |
| Daniel Friend | 2006 | 1998 - Bachelor of Commerce - - Griffith University ~ 2006 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2010 - Advanced Diploma of Financial Planning - - PS146 Training Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2010 - Self Managed Superannuation Funds - - Kaplan Professional |
| Daniele Fochesato | 2010 | 2004 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - Charles Sturt University (CSU) ~ 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - International Institute of Technology Pty Ltd (IIT) ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| David Armour | 1996 | 2002 - Bachelor of Economics - - University of Newcastle ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| David John Bannister | 1987 | 1997 - Bachelor of Business (Finance) - - Swinburne University ~ 2003 - Diploma in Applied Finance and Investment - - Securities Institute of Australia |
| David Kovac | 2006 | 2005 - Bachelor of Commerce (accounting and financial planning) - - Deakin University |
| David Simon | 2001 | 2003 - Bachelor of Commerce - - Macquarie University ~ 2005 - Diploma of Financial Planning - - FINSIA ~ 2006 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2016 - Certified Financial Planner - - Financial Planning Association of Australia |
| David Wilcock | 1999 | 1996 - Bachelor of Commerce - - University of QLD ~ 1999 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2011 - DPML Margin Lending - - Pinnacle ~ 2014 - Certificate in Specialist SMSF Advice - - Pinnacle |
| Elizabeth Jane Dean | 2017 | 2008 - Accredited Derivatives Adviser - - ASX ~ 2009 - Diploma of Financial Services NS50804 - - Kaplan Training ~ 2010 - Advanced Diploma of Financial Planning FNS60415 - - Kaplan Training ~ 2010 - SMSF Funds - - Kaplan Training ~ 2012 - Master of Applied Finance - - Macquarie University |
| James Thomas Hepburn | 2022 | 2019 - Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2021 - Masters of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| John Christopher Thwaites | 2009 | 2003 - Bachelor of Business and Commerce - - Monash University ~ 2008 - Diploma of Financial Services - - Mentor Education |
| Josephine Amy Sheppard | 2023 | 2020 - Bachelor Applied Finance - Bachelor Degree (AQF 7) - Macquarie University ~ 2021 - Grad Dip Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Luke Ranson | 2001 | 2001 - Bachelor of Commerce - - Griffith University ~ 2003 - Diploma of Financial Services - Diploma (AQF 5) - AMP Financial Services ~ 2004 - Masters of Financial Planning - - University of the Sunshine Coast ~ 2013 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Marc Smith | 1999 | 1996 - Bachelor of Business (Economics) - - Queensland University of Technology ~ 2001 - Diploma of Financial Planning - - Deakin University ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Martin Cameron Caramians | 2017 | 2002 - Diploma of Financial Advising - - FINSIA ~ 2008 - Graduate Diploma Applied Finance - - FINSIA ~ 2012 - Master of Applied Finance - - Macquarie University ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2018 - Self Managed Superannuation Funds - Other - Kaplan |
| Matthew Steptoe | 1999 | 1998 - Bachelor of Arts (Government Studies) - - Edith Cowan University ~ 2012 - Advanced Diploma of Financial Planning - - Investment Banking Institute ~ 2013 - Advanced Diploma in Self Managed Superannuation Funds - - Investment Banking Institute ~ 2013 - Self Managed Superannuation Funds - - Investment Banking Institute ~ 2014 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Matthew William Brown | 2004 | 2010 - Estate Planning - - MLC ~ 2010 - Risk Specialist - - MLC ~ 2017 - Self Managed Superannuation Funds - - Financial Education Professionals ~ 2018 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2019 - MLFNS - Principles of Margin Lending - - International Institute of Technology |
| Nathan William Nash | 2003 | 1999 - Bachelor of Commerce (Accounting and Finance) - - Australian National University ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2006 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2017 - Self Managed Superannuation Funds - - Kaplan |
| Onur Ibrahim Kinali | 2002 | 2000 - Bachelor of Science - - University of Melbourne ~ 2002 - Diploma of Financial Planning - - Deakin University ~ 2005 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Patrick Duke | 2007 | 2007 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2009 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2010 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2017 - Master of Financial Planning - - Griffith University |
| Paul Argentino | 2009 | 2009 - Diploma of Financial Services - - Mentor Education |
| Scott Betterridge | 2004 | 2000 - Diploma of Financial Markets - - Finsia ~ 2006 - Investment Planning 1 - - Tribeca ~ 2006 - RG146 - - Kaplan ~ 2006 - Risk Management - - Tribeca ~ 2006 - Superannuation & Retirement Planning - - Tribeca |
| Thomas Cotter | 2014 | 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2013 - Advanced Diploma of Financial Services - - Kaplan Professional ~ 2013 - Bachelor of Business (Accounting/Economics and Regional Development) - - James Cook University ~ 2013 - Bachelor of Business - - James Cook University ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2015 - CFP - Certified Financial Planner - Other - FPA ~ 2016 - Tier 1 Margin Lending - - Kaplan |
| Timothy Holt | 2016 | 2016 - Generic Knowledge - - Financial Education Professionals Pty Ltd ~ 2016 - Managed Investments - - Financial Education Professionals Pty Ltd ~ 2016 - Securities - - Financial Education Professionals Pty Ltd |