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 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Tourism) - Lincoln University ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Andrea Michele MC Donnell | 2016 | ASFA146 Fast Track Superannuation - Association of Superannuation Funds of Australia ~ BSc (Hons) Mathematics - Manchester University ~ FIAA - Actuaries Institute Australia |
| Brendan Joseph Lamaro | 2018 | Bachelor of Commerce (Financial Planning/Marketing) - Deakin University ~ RG 146 Superannuation - The Association of Superannuation Funds of Australia |
| Brett Alan Jolley | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (International Business) - Queensland University of Technology ~ FPC001B Economic and Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional |
| Camilla Rachel Von Pfyffer | 2014 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Commerce - Griffith University ~ FPC001B Economic and Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional |
| Carol Margaret Peacock | 2002 | Diploma of Financial Services (Financial Planning) - Integratec ~ Diploma of Superannuation Management - Macquarie University ~ Master of Business Administration - The University of Newcastle ~ Master of Marketing - The University of Newcastle |
| Christine Joy Cuaresma | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Applied Science - Queensland University of Technology ~ Bachelor of Business (Banking and Finance) - Queensland University of Technology ~ Diploma of Financial Services (Financial Planning) - Association of Superannuation Funds of Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Christopher Anthony Baran | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - RG 146 Training Australia - Mentor Education Group ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Damien John Sferratore | 2023 | Bachelor of Commerce (Accounting & Financial Advising) - James Cook University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Deakin University |
| Daryl Stuart Spencer | 1998 | Advanced Certificate in Commerce - NSW Tafe ~ Certificate IV Workplace Business and Coaching - The Open Door Coaching Group ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University / Financial Planning Association of Australia |
| David John Eather | 2012 | 928 Margin Lending - Knowledge and Skills - Kaplan Professional ~ Bachelor of Business (Finance) - Queensland University Technology (QUT) ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Deepak Magan | 2011 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Science in Accounting - Golden Gate University (USA) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Certificate in Finance - Griffith University |
| Dianna Kaye Orbell | 1997 | Diploma of Financial Planning - Financial Planning Association of Australia/Deakin University ~ Master of Commerce (Financial Planning) - University of Western Sydney |
| Elizabeth Mary Addis | 2003 | Bachelor of Economics - University of Queensland ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma Applied Finance and Investment - Securities Institute |
| Errin Mcdowall | 2018 | Diploma of Financial Planning - Kaplan Professional ~ Graduate Certificate in Financial Planning - Griffith University ~ Master of Financial Planning - Griffith University |
| Evan Glenn Poole | 2007 | Bachelor of Arts - University of Queensland ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ FPC001B Economic and Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional |
| Gerard Kane | 2011 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| HO Yin Hang | 2018 | Bachelor of Commerce - The University of New South Wales ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| James Nicholas Atley | 2002 | Diploma of Financial Advising - Finsia ~ Quality Advice Accreditation - Garvan Financial Planning |
| Jason Hunter | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Jeffrey Phillip Sim | 2018 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Business (Finance) - Queensland University of Technology ~ Diploma of Financial Planning - Monarch Institute ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Taxation - The University of New South Wales |
| John DE Melo | 2014 | Advanced Investment Plannng - Mentor Education ~ Diploma of Financial Services (Financial Planning) - RG 146 Training Australia Mentor Education Group ~ Estate Planning - Mentor Education |
| Justin William Short | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce / Bachelor of Engineering (Honours) - The University of Queensland ~ Certified Financial Planner - Financial Planning Association of Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Keith William Blakely | 1990 | Cert IV Workplace Training and Assessment Certificate - Mr Wed ~ Diploma of Financial Planning - Deakin University / Financial Planning Association of Australia |
| Kellie Theresa Pearson | 2011 | Bachelor of Science - UMIST and The Victoria University of Manchester (UK) ~ Fellow Institute of Actuaries Australia - Institute of Actuaries Australia ~ RG146 Superannuation Essentials - Association of Superannuation Funds Australia |
| Kendall Malcolm Jun Price | 2012 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Commerce (Accounting and Finance) - The University of Sydney ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics & Professionalism in Financial Advice - Kaplan Professional |
| Kristy Lee O'rourke | 2015 | Bachelor of Business (Management) - Queensland University of Technology ~ Diploma of Financial Planning - Kaplan Professional ~ RG146 for the Superannuation Industry - Australian Institute of Superannuation Trustees |
| Louise Scott Coleman | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business - University of Technology Sydney ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Lucy Anne Levy | 1989 | Bachelor of Science (Honours) - University of New South Wales ~ Superannuation (Part III Subject 4) - The Institute of Actuaries of Australia |
| Luke Moorby | 2017 | Bachelor of Commerce (Economics, Finance) - Curtin University ~ Diploma of Financial Planning - Kaplan Professional |
| Mark Ian Haines | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Foundation Diploma of Financial Planning - Financial Planning Association of Australia |
| Mathew David Murphy | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce (Finance) - University of Southern Queensland ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Matthew Aaron Falvey | 2007 | Bachelor of Business (Accounting) - Griffith University ~ Diploma of Financial Planning - Financial Planning Association of Australia / Deakin University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Super Funds - Kaplan Professional |
| Matthew Paul Millwater | 2018 | Bachelor of Business (Marketing) - Queensland University of Technology ~ Diploma of Financial Planning - Kaplan Professional |
| Michael Edward Belcher | 2016 | Bachelor of Business (Accounting) - Victoria University of Technology ~ FNS50611 Diploma of Financial Planning - Kaplan Professional ~ FNS60415 Advanced Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Michael John Smith | 2000 | Financial Planning Certificate of Qualification - Independent Centre of Financial Training ~ Financial Services Competencies Program, Specialist Knowledge Superannuation & Life Insurance - AMP Financial Services Learning & Development ~ Life Insurance (Personal Advice) - RG 146 Training Australia |
| Michael Tape | 2021 | Bachelor of Commerce (Finance, Financial Planning) - Griffith University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Natalie Marie Whittal | 2017 | Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Diploma of Superannuation - ASFA |
| Nerique Paterson | 2018 | Bachelor of Commerce (Actuarial Science) - University of Stellenbosch ~ Bachelor of Commerce Honours (Actuarial Science)s - University of Stellenbosch ~ Fellow Member of the Actuarial Society - Actuarial Society of South Africa ~ Fellow of the Institute of Actuaries of Australia - The Institute of Actuaries of Australia ~ RG 146 Superannuation - The Association of Superannuation Funds of Australia |
| Nomayer Khan Chowdhury | 2018 | Bachelor of Accounting - Charles Darwin University ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Patrick Sean White | 1999 | Certified Financial Planner - Financial Planning Association of Australia Limited ~ Diploma of Financial Planning - Financial Planning Association of Australia Limited / Deakin University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business Administration - Deakin University |
| Patrick Twomey | 2016 | Diploma Financial Services (Financial Planning) - ASFA ~ Diploma Financial Services (Superannuation) - ASFA ~ Master of Business Adminstration (MBA) - The University of Queensland |
| Paul Allan Parkinson | 2010 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce - Griffith University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Rachelle Sylvia | 2021 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor of Commerce (Financial Planning, Accounting) - Griffith University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ SMSF Foundations Course - Smarter SMSF |
| Rakesh Anand | 2000 | Certified Financial Planner - Financial Planning Association of Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Banking and Finance - Monash University ~ Master of Business (Banking & Finance) - Monash University |
| Raymond KO | 2002 | Bachelor of Commerce - University of Queensland ~ DFP4 Wealth Creation Retirement Planning - FPA ~ Investment Planning 1 & Risk Management - Integratec ~ Investment Planning 2 - Integratec ~ Margin Lending & Geared Investments - Kaplan |
| Roxanne Turner | 2014 | Bachelor of Commerce - Griffith University ~ Bachelor of Commerce - Griffith University ~ Graduate Diploma of Financial Planning - Financial Services Institute of Australasia ~ Graduate Diploma of Financial Planning - Finsia ~ Master of Applied Finance - Kaplan Professional ~ Master of Applied Finance - Kaplan Professional Pty Ltd |
| Shane Michael Fielding | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Stephen James Mckay | 2004 | Bachelor of Economics - The University of Sydney ~ Diploma of Financial Planning - Financial Planning Association / Deakin University ~ Diploma of Superannuation Management - ASFA / Macquarie University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - Finsia |
| Tania Maree Bagley | 2018 | Advanced Diploma of Financial Services (Superannuation) - The Association of Superannuation Funds of Australia ~ Estate Planning - Kaplan Education Pty Limited ~ Investment Planning 1 - Kaplan Education Pty Limited ~ PS 146 Risk - Securities Institute Education ~ Taxation Planning - Kaplan Education Pty Limited |
| Tanya Gertschmann | 2003 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Integratec ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Thida Lukose | 2008 | Graduate Diploma of Applied Finance - Kaplan Professional ~ Masters of Applied Finance - Kaplan Professional |
| Trent Morgan | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Certificate in Financial Planning - Charles Sturt University |
| Victoria Rose Spencer | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Economics with Honours - University of New England ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Professional Accounting - University of New England |
| Vikas Gupta | 2014 | Bachelor of Commerce (Financial Planning, Human Resource Management) - University of Canberra |
| William James Burke | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |