This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients 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;
superannuation; and
provide financial product advice to wholesale clients for the following classes of financial products:
derivatives;
foreign exchange contracts; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products to wholesale clients:
derivatives; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products to retail and wholesale clients:
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;
superannuation; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products to wholesale clients:
derivatives;
foreign exchange contracts;
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew Ross Ferguson | 2018 | 2012 - Bachelor of Commerce (Accounting & Finance) - - University of New South Wales (NSW) ~ 2012 - Bachelor of Economics - - University of New South Wales (NSW) ~ 2016 - Diploma of Financial Planning - - Kaplan Professional |
| Anthony Batsanis | 2018 | 2014 - Bachelor of Business - - La Trobe University ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Anthony David Foale | 2005 | 1992 - Bachelor of Economics - - La Trobe University ~ 2004 - Diploma of Financial Planning - - Deakin University ~ 2006 - Advanced Diploma of Financial Services - - Tribeca ~ 2009 - Certified Financial Planner - - FPA ~ 2019 - Ethics and Professionalism - Bridging Course - Ethics - Kaplan |
| Cara Sloshberg | 2014 | 2010 - Bachelor of Business - - UTS ~ 2013 - Diploma of Financial Planning - - Kaplan ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan ~ 2016 - Certified Financial Planner - - Financial Planning Association |
| Caroline Ngoi | 2015 | 2002 - Bachelor of Commerce - - University of Western Australia ~ 2007 - Graduate Diploma of Financial Planning - - Finsia ~ 2014 - Certified Financial Planner - - Financial Planning Association ~ 2021 - Ethics & professionalism - Bridging Course - Ethics - Kaplan |
| David Greenberg | 2012 | 1980 - Bachelor of Business - Bachelor Degree (AQF 7) - Western Australian Institute of Technology (WAIT) ~ 2003 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Edward Wilmoth | 2012 | 2007 - Bachelor of Commerce - - University of Melbourne ~ 2013 - Certified Financial Planner - - Financial Planning Association ~ 2013 - Graduate Diploma of Financial Planning - - Kaplan Professional ~ 2015 - Accredited Aged Care Professional - Other - Aged Care Steps Pty Ltd |
| Gayle Dawn Wilson | 1996 | 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Tax for Financial Advising - Other - Kaplan Professional |
| Ian Michael Mcrae | 2010 | 1994 - Bachelor of Commerce - - Murdoch University ~ 1995 - Graduate Diploma in Banking & Finance - - Curtin University ~ 2002 - Diploma in Financial Planning - - Deakin University ~ 2004 - Certified Financial Planner - - Financial Planning Association ~ 2019 - Ethics and Professionalism - Bridging Course - Ethics - Kaplan |
| James DE Petra | 2012 | 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional Education ~ 2012 - Bachelor of Commerce (Financial Planning & Finance) - Bachelor Degree (AQF 7) - Deakin University |
| Jason Cook | 2004 | 1997 - Bachelor of Economics - - Monash University ~ 2003 - Diploma of Financial Planning - - Deakin University |
| Jessica Higgins | 2008 | 2006 - Bachelor of Commerce - - Deakin University ~ 2011 - Certified Financial Planner - - Financial Planning Association ~ 2015 - Certificate IV Finance and Mortgage Broking - - AAMC Training Group ~ 2019 - Ethics and Professionalism - Bridging Course - Ethics - Kaplan |
| Jill Gordon | 2010 | 1998 - Diploma of Financial Planning - - FPA ~ 2003 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia ~ 2010 - Margin Lending and Gearing Investments - - Kaplan ~ 2021 - FAESA - Other - FAESA |
| Matthew Kitchen | 2012 | 2012 - Bachelor of Commerce (Finance and Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2015 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Matthew Zee | 2000 | 1993 - Bachelor of Agricultural Economics - Bachelor Degree (AQF 7) - Sydney University ~ 1997 - Master of Commerce - Masters Degree (AQF 9) - UNSW ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice bridging subject - Bridging Course - Ethics - Kaplan |
| Melissa Murphy | 2017 | 2017 - Diploma of Financial Planning - - Kaplan ~ 2018 - Self Managed Superannuation Fund - - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN |
| Michael Cheung | 2012 | 2010 - Diploma of Financial Services (Financial Planning) - - International Institute of Technology ~ 2011 - Certificate IV in Financial Services (Finance/Mortgage Broking) - Certificate (AQF 1-4) - International Institute of Technology ~ 2018 - Advanced Diploma of Financial Planning - - Integrity Education |
| Paul Stocker | 1996 | 2000 - Bachelor of Commerce (Banking & Finance) - - University of Southern Queensland ~ 2001 - Diploma of Financial Planning - - FPA |
| Paula Louise Siddle | 2013 | 2008 - Diploma of Financial Services - - FSTA ~ 2021 - Masters of Financial Planning - Masters Degree (AQF 9) - Central Queensland University |
| Richard James Crosara | 2008 | 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - - KAPLAN ~ 2014 - Bachelor of Business (Financial Planning) - - RMIT ~ 2019 - Ethics and Professionalism - Bridging Course - Ethics - Kaplan |
| Romano DE Nadai | 2010 | 1992 - Bachelor of Business (Banking and Finance) - - Monash University ~ 1999 - Diploma of Mortgage Lending - - Securities Institute ~ 2001 - Diploma of Financial Planning - - FPA ~ 2004 - CFP Education Program - - FPA |
| Ryan O'dwyer | 2009 | 2008 - Bachelor of Business - Bachelor Degree (AQF 7) - Australian Catholic University ~ 2008 - Diploma of Financial Services - Diploma (AQF 5) - Kaplan Education ~ 2009 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Kaplan Education ~ 2017 - Certified Financial Planner - Professional Designations - Financial Planning Association |
| Scott Ronald Jackson | 2006 | 2001 - Graduate Diploma of Commerce - - University of New South Wales ~ 2015 - Certified Financial Planner - - Financial Planning Association ~ 2019 - Ethics and Professionalism - Bridging Course - Ethics - Kaplan |
| Vanessa Claire Maitland | 2006 | 2001 - Diploma Of Financial Advising - - Securities Institute ~ 2005 - Certified Financial Planner - - Financial Planning Association Of Australia ~ 2015 - Master of Commerce - - Deakin University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |