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;
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;
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 |
|---|---|---|
| Andy Hung Kai Lam | 2011 | 2004 - Bachelor of Commerce (International Business) - - University of Wollongong ~ 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Antoinette Cornelia Mullins | 2007 | 2000 - Bachelor Degree - Social Work & Youthwork - - University of South Africa ~ 2008 - Advanced Diploma - Financial Planning - - Adviser Campus ~ 2013 - CFP - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - AAMC Training Group ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Benjamin John Luke Seymour | 2005 | 2010 - Master of Commerce (Financial Planning) - Masters Degree (AQF 9) - Western Sydney University ~ 2012 - Margin Lending & Geared Investments - Diploma (AQF 5) - Kaplan Australia |
| Brian Park Hoe Chung | 2016 | 2006 - Bachelor of Commerce - - UNSW ~ 2015 - RG146 - - Kaplan ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan ~ 2024 - Accredited Listed Product Adviser Program - Other - Kaplan Professional |
| Carl Jeffery Freshwater | 2015 | 2006 - Bachelor of Business (Business Information Systems) - - RMIT ~ 2010 - Diploma of Financial Services - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services - - Kaplan Professional ~ 2016 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2017 - Self Managed Superannuation - - Kaplan |
| Chee Wai Brendon Leong | 2015 | 2012 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - University of Newcastle ~ 2015 - Diploma of Financial Planning FNS50611 - Diploma (AQF 5) - Monarch Institute ~ 2018 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Chinthaka Dilshan Muthukuda | 2012 | 2004 - Master Of Commerce - - University Of New South Wales ~ 2007 - Diploma Of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2013 - CFP Certification Program - - Financial Planning Association of Australia ~ 2016 - Margin Lending - - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Christine Lusher | 2003 | 2004 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Financial Planning Association of Australia (FPA) ~ 2004 - Diploma of Financial Planning (DFP1-8) - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2006 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) ~ 2008 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Newcastle ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional |
| Clare Shewan | 2016 | 2013 - Advanced Self Managed Super Funds Program - - Kaplan Professional Education ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan Professional Education ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Colwyn Grant Eckles | 2006 | 2004 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2004 - Self Managed Superannuation Funds - - Tribeca ~ 2007 - Masters of Financial Planning - - University of the Sunshine Coast |
| Daniel Luke Diprose | 2008 | 2008 - Diploma Financial Services Financial Planning - - Mentor Education ~ 2012 - Self Managed Superannuation Funds - - Mentor Education Group ~ 2013 - Advanced Diploma Financial Planning - - Mentor Education ~ 2014 - Diploma of Finance and Mortgage Broking Management - - AAMC Training Group |
| David John Loughnan | 2014 | 2014 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2014 - Diploma of Financial Planning - - Mentor Education ~ 2014 - Provide Advice in Margin Lending - - Mentor Education ~ 2014 - Provide Advice in Self Managed Superannuation Funds - - Mentor Education ~ 2019 - Accredited Listed Product Adviser Program - - Kaplan Professional |
| David John Rae | 2003 | 1995 - Bachelor of Economics - - Macquarie University ~ 2005 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2007 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| David Phoutasack Sengchansavang | 2007 | 2007 - Diploma Financial Planning FNS50804 - Diploma (AQF 5) - Mentor Education Group ~ 2009 - Advanced Diploma Financial Planning FNS60404 - Advanced Diploma (AQF 6) - Mentor Education Group ~ 2017 - Graduate-Certificate Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Gareth Cecil Tomlinson | 2015 | 2010 - Bachelor of Business (Business Management & Economics) - - Charles Sturt University (CSU) ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Tier 1 Margin Lending - Personal Advice - - Kaplan Professional ~ 2017 - Accredited Listed Product Adviser Program - Diploma (AQF 5) - Kaplan Professional ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Glenn Andrew Malkiewicz | 2012 | 2004 - Bachelor of Business (Financial Planning) - - RMIT ~ 2010 - ASX Accredited Listed Product Adviser (ALPA) Program - Other - Kaplan Professional ~ 2011 - Margin Lending - - Kaplan ~ 2014 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - AAMC |
| Jackson Terrence Millan | 2007 | 2009 - Diploma of Financial Services (Financial Planning) - - TAFE NSW ~ 2011 - Estate Planning - - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2015 - Self Managed Superannuation Funds - Other - Kaplan |
| Jacquelyn Sharma | 2013 | 2013 - Diploma of Financial Planning FNS50611 - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2014 - RG146 Securities - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2016 - RG146 Margin Lending - Diploma (AQF 5) - Kaplan Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jake Mathew Taylor | 2017 | 2009 - Bachelor of Commerce (Finance and Financial Planning) - - Deakin University ~ 2014 - Graduate Diploma of Financial Planning - - Kaplan ~ 2016 - Masters of Financial Planning - - Kaplan ~ 2018 - Self Managed Superannuation - - Terra Cordis ~ 2022 - Margin Lending Specialist - Other - Kaplan |
| Jayde Jenkins | 2012 | 2012 - Advanced Diploma - Financial Planning - - International Institute of Technology ~ 2012 - Diploma - Financial Planning - - Mentor Education ~ 2014 - Bachelor Degree - Business - - Charles Sturt University ~ 2014 - Margin Lending - - Pinnacle ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan |
| Jerome Anthony Ryle DE Kretser | 2011 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2016 - Self Managed Superannuation Funds - - Kaplan Professional |
| Jim Fairhall-dickie | 2006 | 2005 - Diploma of Financial Planning - - AMP Financial Services ~ 2007 - Advanced Diploma of Financial Planning - - AMP Financial Services ~ 2009 - Certificate IV in Financial Services - - Mortgage and Finance Association of Australia ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2024 - Accredited Aged Care Professional - Professional Designations - Aged Care Steps |
| Joel Andrew George Bullimore | 2014 | 2011 - Bachelor of Commerce - - Deakin University ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan ~ 2013 - Diploma of Financial Planning - - Kaplan ~ 2014 - Self Managed Super Fund Course - - Kaplan ~ 2020 - FASEA - Other - FASEA |
| Jonathan Winfield | 2013 | 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2016 - Certified Financial Planner - Other - Financial Planning Association ~ 2019 - Graduate Certificate in Business Administration - Other - University of Technology Sydney ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - FASEA Exam - Bachelor Degree (AQF 7) - FASEA |
| Jordan Luke Burdon | 2005 | 2005 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - AMP ~ 2007 - Advanced Diploma Financial Service (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2010 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Kristopher Paul Bramble | 0 | 2022 - Bachelor of Accounting - Bachelor Degree (AQF 7) - Central Queensland University |
| Leslie Josh Eisemann | 1996 | 2002 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2007 - CFP Certification Program - - Financial Planning Association of Australia ~ 2007 - Self Managed Superannuation Funds - - Kaplan ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Lyall Douglas Jones | 2003 | 2005 - Generic Financial Planning - - CPA ~ 2008 - Self Managed Super Fund Course - - kaplan ~ 2009 - ASX Accredited Listed Products Adviser (ALPA) Program - Other - Kaplan ~ 2009 - Risk Management - - Kaplan ~ 2010 - Margin Lending and Geared Investments - - Kaplan |
| Magdeline Jacovides | 2013 | 2010 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2019 - Ethics + Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Accredited Listed Product Adviser Program - Other - Kaplan |
| Mari Nguyen | 2007 | 2007 - Bachelor of Business - Bachelor Degree (AQF 7) - La Trobe University ~ 2007 - Diploma of Financial Planning FNS50804 - - Mentor Education group ~ 2010 - Advanced Diploma of Financial Planning FNS60404 - - Mentor Education group ~ 2023 - SuperConcepts & ICFS Specialist SMSF - Other - The University of Adelaide |
| Matthew Edward Byrne | 2005 | 2003 - Bachelor of Business - - University of Technology Sydney ~ 2005 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2007 - Self Managed Super Fund - - Kaplan ~ 2009 - ASX Accredited Listed Products Adviser - - Kaplan |
| Matthew James Brendan Wright | 2014 | 2014 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2017 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| Michael James Fox | 2018 | 2015 - Bachelor of Business: Business Management/Finance - Bachelor Degree (AQF 7) - University of Tasmania ~ 2017 - Self Managed Superannuation Fund - Other - Kaplan ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2019 - LRS Life Risk Specialist - Other - FPA ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Michael John Durkin | 2022 | 2003 - Master of Commerce - Masters Degree (AQF 9) - UNSW ~ 2010 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Mentor Education Group ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2022 - Aged Care - Other - Kaplan Professional |
| Michael Sik | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Margin Lending - - Kaplan ~ 2012 - Self Managed SuperFunds - - Kaplan ~ 2015 - Master of Applied Finance - - Kaplan Higher Education Pty Ltd |
| Mostafa Mohamed Ali Shouman | 2016 | 2013 - Master of Science in Management - Masters Degree (AQF 9) - The German University in Cairo ~ 2016 - Diploma of Financial Planning - - Monarch Institute ~ 2017 - Advanced Diploma of Financial - - Monarch Institute ~ 2017 - Margin Lending - - Monarch Institute ~ 2022 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| Nicholas Savonoff | 2015 | 2015 - Diploma of Financial Planning - - International Institute of Technology |
| Nick Andrews | 2010 | 2005 - Bachelor of Business (Financial Planning) - - RMIT ~ 2011 - Certified Financial Planner - - Financial Planning Association of Australia |
| Nicolas Paul Saravanja | 2018 | 2016 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2024 - SMSF Regulations and Taxation - Other - Kaplan Professional |
| Paul Barrie Cluff | 2010 | 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - AAMC Training Group ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - AAMC Training Group ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Phuong Tran | 2017 | 2011 - Bachelor of Applied Finance - - Macquarie University ~ 2012 - Master of Professional Accounting - - University of Technology Sydney ~ 2017 - Diploma of Financial Planning - - Mentor Education ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2024 - SMSF Regulations and Taxation - Other - Kaplan Professional |
| Rachael Glover | 2013 | 2011 - Certificate III in Financial Services - - ASFA ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2015 - Margin Lending - Other - Kaplan Professional |
| Robert Creaton | 2017 | 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor ~ 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University |
| Sam Layland Hodder | 2006 | 1999 - Graduate Diploma in Applied Finance - - Securities Institute ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2009 - Certificate IV Financial Services (Finance/Mortgage Broking) - - Traineeship Management Australia (TMA) ~ 2010 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan |
| Shane Clint Martin | 2008 | 2009 - Cert IV in Financial Services (Finance\Mortgage Broking) - - Tafe NSW ~ 2009 - Diploma in Financial Planning - - Pinnacle Financial Services Academy |
| Stephen Harisiou | 2013 | 2008 - Certificate IV in Financial Services - - RMIT University ~ 2008 - Diploma of Financial Services - - RMIT University ~ 2012 - Bachelor of Finance - - La Trobe University ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Steven Schofield | 2015 | 2014 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2017 - Graduate Certificate in Financial Planning - - Charles Sturt University ~ 2022 - FPC006 Tax and Commercial Law for Financial Planning - Other - Kaplan Professional Education ~ 2022 - IFS Specialist SMSF Course - Other - SuperConcepts |
| Sun Hee Hres | 1999 | 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2010 - ASX Accredited Listed Products Product Adviser (ALPA) Program - Other - Kaplan ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan ~ 2010 - Self Managed Superannuation Funds - Other - Kaplan |
| Tanya Oddo | 2005 | 1998 - Bachelor of Arts-Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Wollongong ~ 2003 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2010 - RG146 Provide Advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Wen Chien Chang | 2017 | 2016 - Bachelor of Finance - Bachelor Degree (AQF 7) - The University of Adelaide ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2020 - Self-Managed Superannuation Funds - Other - Kaplan ~ 2022 - Accredited Listed Product Adviser Program - Other - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Werner Jansen Van Vuuren | 2004 | 2013 - Diploma of Financial Planning - - Kaplan Professional ~ 2013 - Margin Lending - Other - Kaplan Professional ~ 2020 - Self-Managed Superannuation Funds (SMSF) - Other - Kaplan Professional ~ 2021 - Accredited Listed Product Adviser Program - Other - Kaplan Professional |
| YU Sang Son | 1989 | 2005 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2007 - Self Managed Superannuation Funds - Other - Tribeca ~ 2013 - ASX Listed Products Accreditation Course - Other - LPACOnline |
| Yasuhiro Kuramochi | 2015 | 2005 - Master of Professional Accounting Advanced - Masters Degree (AQF 9) - Griffith University ~ 2009 - Certified Practising Accountant (CPA) - Professional Designations - CPA Australia ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - Certified Financial Planners (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |