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 |
|---|---|---|
| Arpita Dilipkumar Bhatt | 2017 | 2010 - Master of Commerce (Professional Accounting) - Masters Degree (AQF 9) - University of Ballarat ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Holmesglen Institute ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Chandar Varadhan | 2016 | 1997 - Master of Business (Management) - - University of Ballarat ~ 2003 - Certified Financial Planner - - Financial Planning Association of Australia Limited ~ 2013 - Cavendish & ICFS Specialist SMSF Course - - The University of Adelaide ~ 2014 - Certificate IV Finance and Mortgage Broking (FNS40811) - - AAMC Training Group ~ 2017 - Accredited Aged Care Professional - - Aged Care Steps |
| Errol Karl Michel Rabaud | 2013 | 2003 - Diploma of Financial Services (Financial Planning) - - Kings International College ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2013 - Principals in SMSF's - - International Institute of Technology ~ 2015 - Advanced Diploma in Financial Services - - Monarch Institute |
| James Harman | 2004 | 2000 - Financial Planning Course - - Tribeca ~ 2003 - Diploma of Financial Planning Services (Financial Planning) - - King's International College ~ 2008 - Advanced Strategies for Self Managed Superannuation - - Three Sixty ~ 2008 - Wealth Creation - Retierment Planning - - Three Sixty ~ 2009 - Superannuation & Retirement Planning - - Three Sixty |
| James Lyndon Malcolm | 2024 | 1997 - Masters of Commerce - Masters Degree (AQF 9) - Macquarie University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - SMSF Specialist Advisor - Professional Designations - SMSF Association ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Jon Francis | 1998 | 2003 - Diploma of Financial Planning - - Financial Planning Association ~ 2016 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor |
| Kurt Armbruster | 2011 | 2011 - Diploma of Financial Planning - Diploma (AQF 5) - Intelletrain ~ 2014 - Advanced Diploma Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2017 - FChFP - Professional Designations - FAAA ~ 2019 - Behavioural Heuristics - Bridging Course - Behavioural Finance - UNE ~ 2022 - Ethics - Bridging Course - Ethics - UNE |
| Mark A Hoy | 2004 | 2013 - Advanced Diploma of Financial Planning FNS60410 - - Kaplan Professional Education ~ 2018 - Accredited Aged Care Professional - Professional Designations - Aged Care Steps ~ 2018 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Michael Messinesi | 2009 | 2007 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of New England ~ 2009 - Diploma of Financial Planning - - Mentor Australia ~ 2014 - Advanced Diploma of Financial Planning/Advice - Advanced Diploma (AQF 6) - Kaplan ~ 2015 - Diploma of SMSF - - Mentor Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Morgan David Jones | 2004 | 1998 - Diploma of Financial Planning - - FPA ~ 1999 - Insurance Planning: Principles & Applications - - Independent Centre of Financial Planning ~ 2020 - Advance Financial Diploma - Advanced Diploma (AQF 6) - International Institute of Technology ~ 2020 - Self Managed Superannuation Funds - Other - Kaplan |
| Paul Johnson Jayashekar | 2004 | 2003 - PS 146 - - Integratec ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2014 - Certificate IV in Finance and Mortgage Broking - - Kaplan |
| Rodney Deutschbein | 2007 | 2007 - Diploma Financial Services (Financial Planning ) - - Mentor ~ 2012 - Diploma Finance and Mortgage Broking - - FMBP |
| Sanjiv Sameer John Khalkho | 2014 | 2013 - Diploma of Financial Planning - - International Institute of Technology ~ 2014 - Self Managed Superannuation Funds - - International Institute of Technology |
| Sean Anthony Prosser | 2002 | 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Mentor Education Group ~ 2010 - Advanced Investment Planning - - Mentor Education Group ~ 2011 - Self Managed Superannuation Fund - - Mentor Education Group |
| Shivi Malik | 2008 | 2009 - Graduate Diploma in Financial Planning - - University of the Sunshine Coast ~ 2012 - Self Managed Superannuation Funds - - Kaplan |
| Steven Brian Hallam | 1999 | 2005 - Post Graduate Diploma of Management - - Macquarie ~ 2009 - ASX Securities - - Kaplan ~ 2009 - Self Managed Super Fund Course - - Kaplan ~ 2010 - Margin Lending - - Kaplan ~ 2014 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - AAMC |
| Timothy Sean O'connell | 2012 | 1983 - Bachelor of Arts (Honours) - Politics - - Reading University, UK ~ 1992 - Master of Business Administration - - The Australian Graduate School of Management (AGSM), University of NSW ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Professional Education |
| Todd Conklin | 2011 | 2006 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - Macquarie University ~ 2010 - Diploma of Financial Planning FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2011 - Self Managed Superannuation Funds - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2012 - RG146 DPML Margin Lending - Diploma (AQF 5) - Pinnacle Financial Services Academy |
| Wence Rafael Peraza Rojas | 2017 | 2012 - Bachelor of Science/Internationla Business - Bachelor Degree (AQF 7) - Georgetown College ~ 2015 - Master of International Business - Masters Degree (AQF 9) - University of Wollongong ~ 2016 - Diploma of Financial Planning - - International Institute of technology ~ 2021 - SMSF Education and Specialist course - Certificate (AQF 1-4) - University of Adelaide |
| William Trevor Rolley | 2004 | 2002 - PS 146 Integratec - - Kaplan ~ 2005 - Certificate 4 Financial Planning - - Kaplan ~ 2015 - RG 146 Specialist SMSF Adviser - - Mentor |