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;
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 limited to:
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Sobczak | 2015 | 2012 - Bachelor of Business ( Financial Risk Management & International Trade) - - Victoria University ~ 2012 - Bachelor of Business (Financial Risk Management/International Trade) - Bachelor Degree (AQF 7) - Victoria University ~ 2015 - Diploma of Financial Planning (1-3) - - KAPLAN Education ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Margin Lending - Personal Advice - - Mentor Education ~ 2017 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2017 - Self Managed Superannuation Fund Adviser (Personal Advice) - Other - Mentor Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Alla Gorbunova | 2018 | 2006 - Bachelor of Business - - University of Technology Sydney ~ 2006 - Diploma of Financial Planning - - AMP Financial Services ~ 2010 - Certified Financial Planner - - Financial Planning Association of Australia (FPA) ~ 2018 - Masters of Business Administration (Executive) - - UNSW ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Australia |
| Antony Joseph Wojcik | 2001 | 1996 - Adv Dip in Business (Acctg) - - Douglas Mawson Inst of Technology ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2008 - CFP - - FPA ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Belinda Anne Wheeley-lea | 2012 | 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| Caroline Deanna Rees | 2004 | 2005 - DFP - - Deakin Uni/ FPA ~ 2008 - CFP® Certification Program - - FPA ~ 2008 - Certified Financial Planner - - FPA ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2011 - Margin Lending/ Geared Investments - - Kaplan ~ 2014 - Self Managed Superannuation Fund - - Kaplan Professional ~ 2014 - TASA and the TPB Code of Professional Conduct - - Kaplan Professional ~ 2015 - Aged Care - - Aged Care Steps |
| Catherine Frances HO | 2016 | 2013 - Bachelor of Commerce Bachelor of Economics - Bachelor Degree (AQF 7) - Monash University ~ 2016 - Advanced Diploma of Financial Services - - Kaplan Professional Services ~ 2018 - CFP - Professional Designations - FAAA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Aged Care Steps Accredited Aged Care Professional training program - Other - Aged Care Steps |
| David Christopher Murphy | 2018 | 2016 - Bachelor of Accounting/ Bachelor of Finance - Bachelor Degree (AQF 7) - La Trobe University |
| David Scott Seidel | 2007 | 2004 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2006 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2012 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Despina Pavlou | 1997 | 1992 - Bachelor of Economics - Bachelor Degree (AQF 7) - James Cook University ~ 2000 - CFP - - FPA ~ 2000 - DipFP - - Deakin ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Gordon Anderson | 1997 | 1989 - Finsia Certificate Course - - Finsia ~ 1993 - DipFP - - Deakin ~ 1995 - CFP - - FPA ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Huy Tran | 2017 | 2012 - Bachelor of Business - - La Trobe University ~ 2017 - Diploma of Financial Planning - - Mentor Education Pty Ltd ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Ignazio Ido Marchesan | 1999 | 1988 - B.Econ - - Flinders Uni ~ 2000 - DipFP - - Deakin ~ 2002 - CFP - - FPA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jeremy Lack | 2012 | 2005 - Bachelor of Business - - Swinburne University of Technology ~ 2012 - Diploma of Financial Planning - - MLC Advice Education ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Kathleen Lehmann | 2014 | 2014 - Diploma of Financial Planning - - Integrity Education Group ~ 2014 - Diploma of Financial Services - - Integrity Education Group ~ 2016 - Adv Diploma of Financial Planning - - Integrity Education Group ~ 2021 - Ethics and Professionalism - Bridging Course - Ethics - Griffith University ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Griffith University |
| Kathryn Louise Stannard | 1999 | 1994 - Bachelor of Arts (Economics) - - University of Melbourne ~ 1998 - Graduate Diploma in Applied Finance and Investment - - Securities Institute of Australia ~ 2000 - Graduate Diploma in Financial Planning - - Securities Institute of Australia ~ 2002 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Marsel Popov | 2011 | 2009 - Bachelor of Business - - University of Technology Sydney ~ 2009 - Bachelor of Business - - University of Technology Sydney (UTS) ~ 2011 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy Pty Ltd ~ 2011 - Diploma of Financial Services - - Pinnacle Financial Services Academy ~ 2013 - Advanced Diploma of Financial Planning - - International Institute of Technology Pty Ltd (IIT) ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - CFP - Professional Designations - FAAA |
| Matthew Terrence Roach | 2016 | 2013 - Bachelor of Business - Bachelor Degree (AQF 7) - Australia Catholic University (ACU) ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education Pty Ltd ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Michael Craig Johns | 2008 | 2004 - Dip Financial Advising - - Finsia ~ 2007 - CFP - - FPA ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nathan Mccabe | 2011 | 2001 - Bachelor Degree - Commerce - Bachelor Degree (AQF 7) - University of Queensland ~ 2001 - Bachelor Degree - Economics - - University of Queensland ~ 2006 - Graduate Diploma - Applied Finance and Investment - - Securities Institute of Australia ~ 2012 - Advanced Diploma - Financial Planning - - Kaplan Professional ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Navjyot Deol | 2018 | 2011 - Master of Information Technology - - Charles Sturt University ~ 2018 - Diploma of Financial Planning - - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Rebecca Paula Cheevers | 2002 | 2005 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Advanced Diploma of Financial Planning - - RG 146 Training Australia |
| Sandy Yee-nga Lui | 2008 | 2003 - Bachelor of Business - - University of Technoloy Sydney ~ 2007 - Diploma of Financial Services (Financial Planning) - - GWM Adviser Services| Advice Education ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - - GWM Adviser Services|Three Sixty |
| Sara Jane Ritchie | 2007 | 2007 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - MLC ThreeSixty ~ 2010 - Advanced Diploma of Financial Planning FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Australia |
| Sophie Elizabeth Mcrae | 2018 | 2012 - Bachelor of Commerce - - Melbourne University ~ 2016 - Graduate Diploma in Financial Planning - - Kaplan Professional ~ 2020 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Stephen Boyd | 2008 | 1993 - Associate Diploma of Business (Accounting) - - TAFE NSW ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2012 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Vikramjit Singh Anand | 2011 | 2005 - Masters of Commerce - - Panjab University (India) ~ 2007 - Master of Business Administration - Masters Degree (AQF 9) - University of Technology Sydney ~ 2012 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2014 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Vinita Bhatia | 2000 | 1993 - M.Comm - - Himachal Pradesh University ~ 1994 - Assoc Dip Acctg - - Swinburne ~ 2003 - DFP - - Deakin ~ 2006 - CFP - - FPA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |