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 - Bachelor Degree (AQF 7) - La Trobe University ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Anthony David Foale | 2005 | 1992 - Bachelor of Economics - Bachelor Degree (AQF 7) - La Trobe University ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribecca Learning (Aust) Pty Limited ~ 2009 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Cara Sloshberg | 2014 | 2010 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Education Pty Limited ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Education Pty Ltd ~ 2016 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Caroline Ngoi | 2015 | 2002 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2007 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited (Historical SIA/FINSIA) ~ 2014 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Duc Loc Nguyen | 2024 | 2009 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2010 - Master of Business (Accounting) - Masters Degree (AQF 9) - Monash University ~ 2012 - Master of Applied Finance - Masters Degree (AQF 9) - Monash University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Edward Wilmoth | 2012 | 2007 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2013 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2013 - 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 |
| Gayle Dawn Wilson | 1996 | 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia Limited ~ 2018 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited ~ 2022 - 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 |
| Ian Michael Mcrae | 2010 | 1993 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Murdoch University ~ 1995 - Graduate Diploma in Banking and Finance - Graduate Diploma (AQF 8) - Curtin University of Technology ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia Limited ~ 2004 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| James DE Petra | 2012 | 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Ltd ~ 2012 - Bachelor of Commerce major in Financial Planning (v1) (and major in Finance) - Bachelor Degree (AQF 7) - Deakin University ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Jason Cook | 2004 | 1997 - Bachelor of Economics - Bachelor Degree (AQF 7) - Monash University ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia Limited ~ 2015 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Jeffrey Khoury | 2014 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Education Pty Limited ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Education Pty Limited ~ 2018 - Bachelor of Accounting - Bachelor Degree (AQF 7) - University of South Australia ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2022 - Accredited Listed Product Adviser Program - Other - Kaplan Education Pty Ltd ~ 2024 - Commercial Law - Other - Kaplan Education Pty Ltd |
| Jessica Higgins | 2008 | 2006 - Bachelor of Commerce major in Financial Planning (v1) (and major in Accounting) - Bachelor Degree (AQF 7) - Deakin University ~ 2011 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Services - Bridging Course - Ethics - Kaplan Higher Education |
| Jill Gordon | 2010 | 1995 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 1998 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia Limited ~ 2003 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Education Pty Limited ~ 2019 - Accredited Listed Product Program - Other - Kaplan Education Pty Ltd ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Matthew Kitchen | 2012 | 2012 - Bachelor of Commerce (major in financial planning) (and major in Finance) - Bachelor Degree (AQF 7) - Deakin University ~ 2014 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| 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 - Diploma (AQF 5) - Kaplan Education Pty Ltd ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Education Pty Ltd ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Paula Louise Siddle | 2013 | 2018 - Bachelor of Accounting - Bachelor Degree (AQF 7) - Central Queensland University ~ 2018 - Bachelor of Financial Planning - Bachelor Degree (AQF 7) - Central Queensland University ~ 2021 - CL66 Master of Financial Planning - Masters Degree (AQF 9) - Central Queensland University |
| Richard James Crosara | 2008 | 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca Learning (Aust) Pty Limited ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Education Pty Limited ~ 2014 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2017 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Ryan O'dwyer | 2009 | 2007 - Bachelor of Business (major Finance) - Bachelor Degree (AQF 7) - Australian Catholic Univeristy ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Education Pty Limited ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Education Pty Limited ~ 2016 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Scott Ronald Jackson | 2006 | 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia Limited ~ 2001 - Graduate Diploma of Commerce - Graduate Diploma (AQF 8) - University of New South Wales ~ 2011 - Graduate Certificate of Chartered Accounting Foundations - Graduate Certificate (AQF 8) - Deakin University ~ 2014 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |