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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aaron George Wain | 2015 | Bachelor of Commerce (Marketing Management, Minor in Policy Economics) - Murdoch University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Curtin University of Technology |
| Adam James Mccarthy | 2004 | Bachelor of Business (Accounting) - Queensland University of Technology ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - FINSIA ~ Graduate diploma in financial planning - Securities Institute of Australia |
| Adrian Fodera | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Finsia ~ Master of Financial Planning - Griffith University |
| Amelia Chiaw Hui Chia | 2016 | Bachelor of commerce (accounting and finance) - Univeristy of Melbourne ~ Certified financial planner - FPA ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics & Professionalism in Financial Advice - Kaplan Professional |
| Andrew Mckendry | 2011 | Bachelor of Business - Monash University ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Graduate Certificate of Financial Planning - FINSIA ~ Graduate diploma of applied finance (financial planning) - Kaplan Professional |
| Andrew Scott Arnold | 2016 | Advanced diploma of financial planning - Kaplan Professional ~ Bachelor of commerce (accounting) - Deakin University ~ Ethics and professionalism in financial advice - Kaplan Professional |
| Ashlee Bunyan | 2018 | Ethics and professionalism in financial advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Azher Abbas Khan | 2018 | Bachelor of Business (Management, Marketing and Human Resources) - University of Tasmania ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and professionalism in Financial Advice - Kaplan Professional |
| Borislav Tesanovic | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education ~ Bachelor of Commerce (Finance & Economics) - University of Wollongong ~ CFP Certification - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Brett Saurine | 1998 | Bachelor of economics - University of Tasmania ~ Certified Financial Planner - Certified Financial Planning Programme - Deakin University ~ Diploma of financial planning - Financial Planning association ~ Ethics and professionalism in Financial Advice - Kaplan Professional ~ Masters of Business Administration - Macquarie University |
| Briohny Powell | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and professionalism in Financial Advice - Kaplan Professional ~ Graduate diploma of financial planning - Kaplan Professional |
| Buddhika Wickramaratna | 2010 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Applied Economics - University of Canberra ~ Bachelor of Commerce (Banking & Finance) - University of Canberra ~ Certified Financial Planner - Financial Planning Association (FPA) |
| Charles Azzopardi | 2008 | Bachelor of business (FInancial Planning) - RMIT ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Charles Hordern-gibbings | 2018 | Advanced Diploma Financial Planning - Kaplan Professional ~ Bachelor Commerce (Marketing) - University of Adelaide ~ Diploma Financial Planning - Monarch Institute ~ Economic & legal Context for Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Chun Hao Tseng | 2018 | Advanced Diploma of Financial Planning FNS60410 - Integrity Education ~ Bachelor of Business - Monash University ~ Diploma of Financial Planning - International Institute of Technology ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Tax for financial planning - Kaplan Professional |
| Craig Naylor | 1999 | BA Joint Honours Degree Economics & Geography - The UNiversity of HULL ~ Certified Financial Planner - Financial Planning Association ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Graduate diploma in financial planning - Securities Institute of Australia ~ MSC Masters in Management - Imperial College London |
| Damian Brunello | 2003 | Bachelor of Applied Science (Exercise and Sports Science) - University of South Australia ~ Certified Financial Planner - Securities Institute of Australia ~ Ethics and professionalism in Financial Advice - Kaplan Professional ~ Graduate diploma in Financial Planning - Securities Institute of Australia |
| Daniel James Morrison | 2018 | Advanced diploma of Financial Planning - Kaplan Professional ~ Bachelor of business (finance and economics) - Swinburne University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Daniel Peter Jones | 2015 | Advanced Diploma Financial Planning - Kaplan Professional ~ Diploma Financial Planning (FNS50611) - Kaplan Australia |
| Danielle Liddy | 2018 | Bachelor of commerce (Financial Planning and human resource management) - Univeristy of Wollongong ~ Certified Financial Planner - Financial Planning Association ~ Ethics and professionalism in financial advice - Kaplan Professional |
| David Gee | 2013 | Advanced diploma of financial services (financial planning) - Kaplan Professional ~ Bachelor of Commerce (Finance, economics, money and banking) - University of Western Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Kaplan ~ Ethics and professionalism in Financial advice - Kaplan Professional |
| Debbie Goss | 2004 | Certified Financial Planner - FPA ~ Diploma of Business (Banking and Finance) - TAFE SA ~ Diploma of Financial Advising - Securities Institute ~ Economic and legal context for financial planning - Kaplan Professional ~ Margin Lending - Kaplan |
| Derek Roy Gascoigne | 2001 | Bachelor of commerce (management) - Murdoch University ~ Certified financial planner - Financial planning association ~ Diploma in Financial Planning - Deakin Univeristy ~ Ethics and professionalism in financial advice - Kaplan Professional |
| Derya Tillem | 2011 | Advanced diploma of financial services (financial planning) - ThreeSixty Education ~ Bachelor of business - RMIT ~ Diploma of Financial Planning - Mentor Education ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
| Dylan Paul Goldfinch | 2023 | Bachelor of Business (Accounting) - University of Tasmania ~ Graduate Diploma in Financial Planning - Charles Sturt University ~ Masters of Applied Finance - Charles Sturt University |
| Emily Monk | 2013 | Advanced Diploma of Financial Planning - Kaplan ~ BA (Hons) Politics and Cultural Studies 2:1 - Manchester Metropolitan University ~ Ethics and professionalism in Financial Advice - Kaplan Professional ~ Graduate diploma in financial planning - Kaplan Professional ~ RG146 Personal Advice in Superannuation - Superannuation Compliance Services Pty Ltd |
| Francis Saviour Camilleri | 1999 | Bachelor of business (accounting and finance) - Charles Sturt Univeristy ~ Certified Financial Planner - Financial Planning Association ~ Diploma of financial planning - Deakin University ~ Ethics and professionalism in financial advice - Kaplan Professional |
| Greeshma Girish | 2018 | Bachelor of Commerce (Accounting) - The University of Adelaide ~ Diploma of Financial Planning - Kaplan Professional |
| Gregory Joseph Elias | 2006 | Bachelor of Economics (Banking and Finance) - The University of Western Sydney ~ Certified Financial Planner - Financial Planning Association ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Graduate diploma in Financial planning - FINSIA |
| Hope Rawnsley | 2021 | Graduate diploma in Financial Planning - Kaplan Professional |
| Jackson David Swain | 2018 | Bachelor of Business - University of Tasmania ~ Diploma Of Financial Planning - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of financial planning - Kaplan Professional |
| James Lawrie | 2004 | Bachelor of Economics - University of Sydney ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Graduate Diploma - Applied Finance and Investment - Securities Institute ~ Graduate diploma in financial planning - Securities Institute of Australia |
| James Weyler | 2014 | Advanced diploma in financial planning - Kaplan Professional ~ Bachelor of international business - Bond University ~ Certified financial planner - Financial planning association ~ Diploma Of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and professionalism in financial advice - Kaplan Professional |
| Jamie Ronald Laird | 1999 | CFP Education Program - Financial Planning Association (FPA) / Deakin University ~ Diploma of Financial Planning - Financial Planning Association (FPA) / Deakin University ~ Ethics and professionalism in Financial Advice - Kaplan Professional ~ Graduate diploma of financial planning - Kaplan Professional |
| Jessica Looi | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Certified Financial Planner - Deakin University ~ Diploma of Financial Planning - Kaplan Professional Education ~ Graduate diploma of financial planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Jialu XU | 2018 | Bachelor of International Business - La Trobe University ~ Diploma of Financial Planning - Monarch Institute ~ Ethics and professionalism in Financial Advice - Kaplan Professional ~ Graduate diploma in financial planning - Kaplan Professional |
| Joleene Maurreen Stockwell | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of Arts (Major Languages & Applied Linguistics) - Griffith University ~ Graduate diploma in financial planning - Kaplan Professional ~ Master of Education (TESOL) - Queensland University of Technology |
| Jonathan Kujawa | 2013 | Advanced diploma in financial planning - Mentor Education ~ Bachelor of business - La Trobe University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Mentor Education ~ Ethics and professionalism in financial advice - Kaplan Professional |
| Judy LU | 2002 | Certified Financial Planner - Financial Planning Association (FPA) ~ Diploma of Business Studies - Banking and Finance - TAFE NSW ~ Diploma of Financial Planning - Financial Planning Association (FPA) ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Master of applied finance and investment - Kaplan Professional |
| Kiran Kiran Goyal Bhullar | 2008 | Advanced diploma in financial planning - Kaplan Professional ~ Certified Financial Planner - Financial Planning Association ~ Master of Financial Planning - Kaplan Professional |
| Kylie Cilia | 2018 | Bachelor of business (Economics and finance) - RMIT ~ Ethics and professionalism in financial advice - Kaplan Professional |
| Lyneve Almario | 2018 | Diploma of Financial Planning - Kaplan ~ Ethics & professionalism in Financial Advice - Kaplan Professional ~ Graduate diploma in financial planning - Kaplan Professional |
| MU Chen Sun | 2015 | Bachelor of Commerce (Accounting) - Curtin University of Technology ~ Diploma of Financial Planning - Monarch Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Super Funds - Monarch Institute |
| Mark Edward Thompson | 2010 | Bachelor of Business (Financial Planning) - Univeristy of Sunshine Coast ~ Certified financial planner - Financial planning association ~ Ethics and professionalism in financial advice - Ethics and professionalism in financial advice |
| Mark Horwood | 1999 | Certified Financial Planner - Deakin University ~ Diploma of Financial Planning - Deakin University ~ Ethics and professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Financial Planning - Kaplan Professional |
| Mark O'brien | 2017 | Bachelor Commerce (Finance) - University of Queensland ~ Certified Financial Planning (CFP) - FPA ~ Diploma Financial Planning FNS50611 - Kaplan Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ RG146 Margin Lending - Kaplan Australia |
| Matthew Sear | 2001 | Bachelor of law and bachelor of commerce - University of Queensland ~ Certified Financial Planner - Financial Planning Association ~ Diploma of financial planning - Financial Planning Association ~ Ethics and professionalism in financial advice - Kaplan Professional |
| Matthew Werakso | 2007 | Advanced diploma in financial planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - KAPLAN ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Master of business administration - Christian Brothers Univeristy |
| Melinda Brown | 2002 | Bachelor of Arts (International Studies) - University of Technology, Sydney ~ Bachelor of business (accounting) - University of technology, Sydney ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin Univeristy ~ Ethics and professionalism in financial advice - Kaplan Professional |
| Michael Anthony Charles Lex Lindley | 2017 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - ThreeSixty ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Michael John English | 2017 | BA Psychology - Macquarie University ~ BComm Economics - Macquarie University ~ Diploma of Financial Planning - Monarch Institute |
| Michael Nott | 2018 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Ethics and professionalism in Financial Advice - Kaplan Professional ~ Graduate diploma in financial planning - Kaplan Professional |
| Mitchell James Munro | 2015 | Bachelor of Science - University of Sydney ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Natasha Bridget Johnston | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning Planning - Monarch Institute ~ Ethics and professionalism in Financial Advice - Kaplan Professional ~ Masters in Financial Planning - Kaplan Professional ~ TASACLv1 Commercial Law - Kaplan Professional |
| Nicholas TA | 2001 | Bachelor of commerce (banking and finance) - University of Melbourne ~ Certified Financial Planner - Financial Planner Association of Australia (FPA) ~ Diploma in Financial Planning - Deakin University ~ Ethics and professionalism in financial advice - Kaplan Professional |
| Nicole Marie Canavan | 1999 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of financial planning - FPA ~ Graduate diploma of Financial Planning - TAFE NSW ~ RG146 Margin Lending - MLC ThreeSixty |
| Paul Christopher Ferrante | 2008 | Advanced diploma in financial planning - Kaplan professional ~ Bachelor of Commerce - Curtin University ~ Certified financial planner - Financial planning association ~ Ethics and professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - KAPLAN |
| QI Jin | 2018 | Advanced diploma of financial planning - Mentor Education ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and professionalism in Financial Advice - Kaplan Professional ~ Master of Commerce - The University of Sydney |
| Renae Halmani Anderson | 2006 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Renee Zimmermann | 2012 | Advanced diploma in Financial Planning - Pinnacle ~ Bachelor of business - University of South Australia ~ Certified Financial Planner - CFP Certification Program - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Pinnacle ~ Ethics and professionalism in Financial Advice - Kaplan Professional |
| Robert Cahill | 2006 | Advanced diploma in financial Planning - Kaplan ~ Bachelor of commerce (actuarial studies) - University of Melbourne ~ CFA - Chartered Financial Analyst - CFA Institute ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and professionalism in financial advice - Kaplan Professional |
| Rudy Leong | 2014 | Advanced diploma of financial planning - Kaplan ~ Bachelor of Commerce - UWA ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Kaplan ~ Ethics and profesionalism in financial advice - Kaplan Professional |
| Sam Dignam | 2018 | Bachelor of business (Financial Planning, Sport Management) - La Trobe University ~ Ethics and professionalism in financial advice - Kaplan Professional |
| Samuel Geurens | 2018 | Bachelor of Business (Financial Planning) - RMIT |
| Shu Feng Zheng | 2015 | Diploma of Business - North Sydney TAFE ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Stefani Wijaya | 2015 | Bachelor of Commerce (Accounting and Finance) - Curtin Univeristy ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Services (Financial Planning) - Mentor ~ Ethics and professionalism in Financial advice - Kaplan Professional ~ Graduate diploma in financial planning - Kaplan Professional |
| Stephen Duncan Donaghy | 2004 | Advanced Diploma of Financial Services (Financial Planning) - FINSIA ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Certified Planner Education Program - Financial Planning Association ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Masters of applied Finance - Kaplan |
| Stephen Henry Henshall | 2005 | ASFA PS146 - ASFA ~ Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Certificate of Superannuation Management - ASFA ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Graduate Diploma in Financial Planning - Kaplan Professional |
| Stephen John Brereton | 2002 | Certificate of Self Managed Superannuation Funds - KAPLAN ~ Certificate of Superannuation Management - ASFA ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Diploma of Financial Planning - Financial Planning Association (FPA) ~ Graduate diploma of financial planning - Kaplan Professional |
| Steven Craigie | 2012 | Bachelor of business (banking and finance) - Monash University ~ Certified financial planner - Financial planning association ~ Diploma of Financial Planning - KAPLAN ~ Ethics and professionalism in Financial Advice - Kaplan Professional |
| Svetlana Ushenin | 2017 | Bachelor of Commerce (Corporate Finance and Accounting) - Adelaide University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Graduate diploma in financial planning - Kaplan Professional ~ Masters of Applied Finance - Kaplan |
| Tao QU | 2015 | Bachelor of Commerce and Bachelor of Information Systems - University of Tasmania ~ Certified Financial Planner - FPA ~ FPC002B Ethics and Professionalism in Financial Advice: Ethics for Professional Advisers - Kaplan Professional ~ Graduate Diploma of Financial Planning - Financial Services Institute of Australia (Finsia) |
| Trevor Schmid | 2006 | Advanced Diploma of Financial Services (Financial Planning) - KAPLAN ~ Diploma of Financial Services (Financial Planning) - 360 Adviser Campus ~ Ethics and professionalism in Financial Advice - Kaplan Professional ~ Graduate diploma of financial planning - Kaplan Professional ~ Self Managed Superannuation Funds Program - KAPLAN |
| Tristan Barnes | 2009 | Advanced diploma in Financial Planning - Kaplan ~ Bachelor of Commerce - University of Sydney ~ Certificate of Superannuation Management - ASFA ~ Certified financial planner - Financial Planning Association ~ Ethics & professionalism in Financial Advice - Kaplan Professional |
| Vivek Krishan | 2007 | Bachelor of Science - Maharaja College University of Rajasthan ~ Diploma of Financial Services (Financial Planning) - Kaplan Education ~ Master of Business Administration - Jodhpur Management Programme University of Jodhpur |
| William Jay Goodair | 2001 | Advanced diploma in financial planning - Kaplan Professional ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Ethics and professionalism in financial advice - Kaplan Professional ~ Graduate diploma in applied finance - Kaplan Professional ~ Masters of Applied Finance - KAPLAN |
| Xuewei Liang | 2015 | Bachelor of Commerce/Professional Accounting - Macquarie University ~ Master of Financial Planning - University of New South Wales |
| Yihong Yvonne HU | 2018 | CPA - CPA Australia ~ Diploma of Financial Planning - Kaplan ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ FPC003 Superannuation and Retirement Advice - Kaplan ~ Masters of Accounting and Finance - University of Adelaide |