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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 excluding investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
superannuation;
provide financial product advice to wholesale clients only for the following classes of financial products:
derivatives;
general insurance products;
Australian carbon credit units; and
eligible international emissions units;
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 retail and wholesale clients:
superannuation; and
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product in respect of the following classes of financial products to retail and wholesale clients:
deposit and payment products limited to:
non-cash payment products; 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 only:
derivatives;
general insurance products;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
Australian carbon credit units; and
eligible international emissions units; and
provide a superannuation trustee service to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Ann LE | 2014 | 2011 - Bachelor of Arts and Commerce - - Deakin University ~ 2014 - Diploma of Financial Services - - Kaplan Professional |
| Antoni Josef Stolarek | 2015 | 2010 - Diploma of Accounting - - Swinburne TAFE ~ 2012 - Bachelor of Business (Finance) - - Swinburne University of Technology ~ 2015 - Advanced Diploma of Financial Planning - - Monarch Institution |
| Antonia Babanis | 2025 | 2022 - Masters of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Arachchige Dinath Sanjeewa Dean Abey Abeysinghe | 2018 | 2010 - Bachelor of Commerce - - Deakin University ~ 2010 - RG146 Compliance - - AIST ~ 2014 - Certificate IV in Finance - Mortgage Broking - - AAMC Training Group |
| Ashleigh Teresa Cattanach | 2007 | 2005 - Diploma of Financial Planning - Diploma (AQF 5) - ThreeSixty ~ 2008 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2012 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan |
| Ashley John Lovi | 2008 | 2008 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - MLC ThreeSixty ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2012 - Advanced Diploma Financial Planning FNS60410 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2017 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan Australia |
| Danh Ngoc Vang Nguyen | 2011 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2013 - Diploma of Superannuation - Diploma (AQF 5) - AIST ~ 2018 - Graduate Certifcate in Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Farai Arthur Mutsinze | 2018 | 2008 - Bachelor of Commerce - - Deakin University ~ 2012 - RG 146 - - AIST ~ 2018 - Diploma in Financial Planning - - Mentor Education |
| Jason Anthony Crichton | 2001 | 2002 - Diploma of Financial Planning - - Deakin University |
| Jeff Baldwin | 2005 | 2002 - Diploma of Financial Planning - - Integratec |
| Jonathan Harkness | 2014 | 2014 - Diploma in Financial Planning - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy |
| Josephine Tannous | 2005 | 2004 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Sydney ~ 2007 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Matthew Grant King | 1998 | 2001 - Diploma - Financial Planning (1) - - FPA (Deakin) ~ 2001 - Diploma - Financial Planning (2) - - FPA (Deakin) ~ 2001 - Diploma - Financial Planning (3) - - FPA (Deakin) ~ 2002 - Diploma - Financial Planning (4) - - FINSIA / SIA ~ 2005 - Advanced Diploma of Financial Planning - - Kaplan |
| Michael Edward Reginald Jurgensen | 2011 | 2006 - Advanced Diploma in Business - Advanced Diploma (AQF 6) - University of Southern Queensland ~ 2010 - Bachelor of Commerce (Finance) - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - MLC ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional Pty Ltd ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Nathan Mark Pholi | 2012 | 2008 - Bachelor of Business (Management) - - University of the Sunshine Coast (USC) ~ 2009 - Master of Business Administration - - University of the Sunshine Coast (USC) ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Pei Lin Amanda Lee | 2015 | 2008 - Bachelor of Commerce (Accounting & Finance) - - Monash University ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Holmesglen Tafe ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Rodney Francis Fletcher | 1996 | 1993 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2000 - Diploma of Financial Planning - - Deakin University |
| Ryan James Attard | 2024 | 2017 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - RMIT University ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
| Sailesh Kumar | 2007 | 2006 - Diploma Financial Planning - Diploma (AQF 5) - Tribeca ~ 2008 - Advanced Diploma Financial Services (FP) - Advanced Diploma (AQF 6) - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Simone Toto | 2012 | 2005 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of CassiNo ~ 2012 - Diploma of Financial Planning FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2012 - RG146 Margin Lending - Diploma (AQF 5) - Kaplan Australia ~ 2012 - Taxation and Estate Planning - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2016 - Advanced Diploma of Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2025 - Commercial Law - Other - Kaplan Professional |
| Stefan Marchesani | 2013 | 2011 - Bachelor of Business (Banking & Finance) - Bachelor Degree (AQF 7) - Victoria University ~ 2015 - Advanced Diploma of Financial Planning FNS60410 - Advanced Diploma (AQF 6) - Pinnacle ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Terry Paris | 2012 | 1991 - Bachelor of Theology - Bachelor Degree (AQF 7) - Sydney College of Divinity ~ 2012 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Trainee Management Australia ~ 2014 - FNS60410 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |