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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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; 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adele Louise Fisk | 2017 | 1995 - Bachelor of Commerce (Tourism) - Bachelor Degree (AQF 7) - Lincoln University ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Tax for Financial Advising - Other - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2021 - Economic and Legal Context for Financial Planning - Other - Kaplan Higher Education ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Brett Alan Jolley | 2014 | 2004 - Bachelor of Business (International Business) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2016 - Tax for Financial Advising - Other - Kaplan Professional ~ 2020 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Higher Education ~ 2021 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Camilla Rachel Von Pfyffer | 2014 | 1993 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2021 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education ~ 2021 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Higher Education |
| Carol Margaret Peacock | 2002 | 1992 - Diploma of Superannuation Management - Diploma (AQF 5) - Macquarie University ~ 2003 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Integratec ~ 2019 - Master of Business Administration - Masters Degree (AQF 9) - The University of Newcastle ~ 2019 - Master of Marketing - Masters Degree (AQF 9) - The University of Newcastle |
| Christopher Anthony Baran | 2009 | 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - RG 146 Training Australia - Mentor Education Group ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Damien John Sferratore | 2023 | 2020 - Business Law - Other - James Cook University ~ 2021 - Taxation Law - Other - James Cook University ~ 2022 - Bachelor of Commerce (Financial Advising) - Bachelor Degree (AQF 7) - James Cook University ~ 2022 - Kaplan Higher Education - Bridging Course - Ethics - FPC002B Ethics and Professionalism in Financial Advice ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University |
| David John Eather | 2012 | 2011 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - Queensland University Technology (QUT) ~ 2014 - 928 Margin Lending - Knowledge and Skills - Other - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Dianna Kaye Orbell | 1997 | 2000 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia/Deakin University ~ 2006 - Master of Commerce (Financial Planning) - Masters Degree (AQF 9) - University of Western Sydney |
| Elizabeth Mary Addis | 2003 | 1987 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Queensland ~ 1992 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute Australia ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Errin Mcdowall | 2018 | 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2018 - Income Tax Law - Other - Griffith University ~ 2019 - Applied Taxation - Other - Griffith University ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University ~ 2021 - Principles of Business and Corporations Law - Other - Griffith University |
| Evan Glenn Poole | 2007 | 1996 - Bachelor of Arts - Bachelor Degree (AQF 7) - University of Queensland ~ 2003 - 8 unit Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Advice Association of Australia Limited ~ 2012 - 5 unit CFP Certification Program - Other - Financial Advice Association of Australia Limited ~ 2012 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2020 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education ~ 2021 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Higher Education |
| Gerard Kane | 2011 | 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| HO Yin Hang | 2018 | 2011 - Business and the Law - Other - University of New South Wales ~ 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of New South Wales ~ 2013 - Business Taxation - Other - University of New South Wales ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| James Nicholas Atley | 2002 | 2002 - Diploma of Financial Advising - Diploma (AQF 5) - Finsia |
| Jason Hunter | 2011 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Jeffrey Phillip Sim | 2018 | 2015 - Business Law and Ethics - Other - Queensland University of Technology ~ 2017 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2017 - Principles of Australian Taxation Law - Other - The University of New South Wales ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2021 - Master of Taxation - Masters Degree (AQF 9) - The University of New South Wales |
| Justin William Short | 2004 | 2002 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Queensland ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2011 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2013 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Kendall Malcolm Jun Price | 2012 | 2010 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - The University of Sydney ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2020 - FPC002B Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Leon Kofmansky | 2011 | 2005 - Bachelor of Arts - Bachelor Degree (AQF 7) - La Trobe University ~ 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - ThreeSixty ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2020 - Economic and Legal Context for Financial Planning - Other - Kaplan Higher Education ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2020 - Tax and Commercial Law for Financial Planning - Other - Kaplan Higher Education |
| Louise Scott Coleman | 2018 | 2001 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Mark Ian Haines | 2007 | 2002 - Foundation Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional |
| Matthew Aaron Falvey | 2007 | 1993 - Business Law 1 - Other - Griffith University ~ 1999 - Taxation Law - Other - Queensland University of Technology ~ 2000 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Griffith University ~ 2006 - 8 unit Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Advice Association of Australia Limited ~ 2009 - Self Managed Super Funds - Other - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments - Other - Kaplan Professional ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Michael Edward Belcher | 2016 | 2000 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Victoria University of Technology ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Michael John Smith | 2000 | 1999 - Financial Planning Certificate of Qualification - Other - Independent Centre of Financial Training ~ 2002 - Financial Services Competencies Program, Specialist Knowledge Superannuation & Life Insurance - Other - AMP Financial Services Learning & Development ~ 2010 - Life Insurance (Personal Advice) - Other - RG 146 Training Australia |
| Michael Tape | 2021 | 2016 - Introduction to Business Law - Other - Griffith University ~ 2017 - Revenue Law: Theory and policy - Other - Griffith University ~ 2019 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Griffith University ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Nomayer Khan Chowdhury | 2018 | 2012 - Introduction to Business Law - Other - Charles Darwin University ~ 2014 - Taxation - Other - Charles Darwin University ~ 2016 - Bachelor of Accounting - Bachelor Degree (AQF 7) - Charles Darwin University ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited |
| Patrick Sean White | 1999 | 2003 - 8 unit Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Advice Association of Australia Limited ~ 2003 - CFP Certification 1-4 Program - Other - Financial Advice Association of Australia Limited ~ 2003 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited ~ 2009 - Master of Business Administration - Masters Degree (AQF 9) - Deakin University ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Paul Allan Parkinson | 2010 | 1995 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Rachelle Sylvia | 2021 | 2017 - Introduction to Business Law - Other - Griffith University ~ 2018 - Revenue law: Theory and policy in action - Other - Griffith University ~ 2019 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Griffith University ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2021 - Accredited Listed Product Adviser Program - Certificate (AQF 1-4) - Kaplan Professional ~ 2023 - SMSF Foundations Course - Other - Smarter SMSF |
| Rakesh Anand | 2000 | 2000 - Certified Practicing Accountants Australia Program - Professional Designations - CPA Austraila Limited ~ 2001 - Graduate Diploma in Banking and Finance - Graduate Diploma (AQF 8) - Monash University ~ 2002 - Master of Business (Banking & Finance) - Masters Degree (AQF 9) - Monash University ~ 2009 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2022 - Commercial Law - Other - Kaplan Professional ~ 2022 - Tax for Financial Advising - Other - Kaplan Professional |
| Raymond KO | 2002 | 1991 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Queensland ~ 2002 - DFP004 Wealth Creation Retirement Planning - Other - Financial Planning Association ~ 2002 - Investment Planning 1 - Other - Integratec ~ 2002 - Risk Management for Financial Services Profesionals - Other - Integratec ~ 2003 - Investment Planning 2 - Other - Integratec |
| Shane Michael Fielding | 2017 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Tax for Financial Advising - Other - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2021 - Economic and Legal Context for Financial Planning - Other - Kaplan Higher Education ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Stephen James Mckay | 2004 | 1994 - Bachelor of Economics - Bachelor Degree (AQF 7) - The University of Sydney ~ 1996 - Diploma of Superannuation Management - Diploma (AQF 5) - ASFA / Macquarie University ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association / Deakin University ~ 2008 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Financial Services Institute of Australasia (FINSIA) ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Thida Lukose | 2008 | 2011 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2012 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional |
| Tony Markovski | 2018 | 2004 - Advanced Diploma of Financial Services (Superannuation) - Advanced Diploma (AQF 6) - Association of Superannuation Funds of Australia (ASFA) ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Profesional ~ 2011 - Bachelor of Business (Economics and Finance) (Applied) - Bachelor Degree (AQF 7) - RMIT University |
| Trent Morgan | 2016 | 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2016 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Charles Sturt University ~ 2018 - Commercial Law - Other - Kaplan Professional ~ 2019 - Tax for Financial Advising - Other - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Victoria Rose Spencer | 2016 | 2014 - Bachelor of Economics with Honours - Bachelor Honours Degree (AQF 8) - University of New England ~ 2015 - Master of Professional Accounting - Masters Degree (AQF 9) - University of New England ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Vikas Gupta | 2014 | 2014 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Canberra |