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 |
|---|---|---|
| Adam Clarence Massey | 2008 | 2000 - Bachelor of Business (Hospitality Management) - Bachelor Degree (AQF 7) - The University of Queensland ~ 2005 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia (FPA) ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2015 - Certificate IV in Finance and Mortgage Broking - Other - Kaplan Professional ~ 2017 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| Andrew Mill | 2011 | 2011 - Diploma of Financial Planning - - Kaplan Professional Education |
| Andrew Peter Bailo | 2001 | 2001 - Master of Business Administration - Masters Degree (AQF 9) - University of New England ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2009 - Graduate Certificate in Professional Accounting - Graduate Certificate (AQF 8) - University of New England ~ 2013 - Diploma of Accounting - Diploma (AQF 5) - TAFE QLD |
| Andrew Robards | 2004 | 1993 - Bachelor of Economics - - University of New England ~ 2000 - Understanding the Finance and Investment Industry - - Securities Institute ~ 2003 - Diploma of Financial Planning - - Financial Planning Association of Australia Limited ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2016 - Self Managed Superannuation - - AAMC |
| Anthony Thai Nguyen | 0 | 2022 - Bachelor of Commerce (Finance and Financial Planning) - Bachelor Degree (AQF 7) - Curtin University |
| Arron Russell | 2007 | 2003 - Bachelor of Business - - University of Newcastle ~ 2005 - Bachelor of Finance - - University of Newcastle ~ 2007 - Diploma of Financial Services (Financial Planning) - - AMP Limited ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Brandon Peter Robards | 2024 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2024 - Accredited Behavioral Finance Professional (ABFP) - Professional Designations - Kaplan Professional ~ 2024 - Chartered Retirement Planning Counsellor (CRPC) - Professional Designations - Kaplan Professional |
| Brett Anthony Christie | 2009 | 2009 - Certificate IV Financial Services (Finance/Mortgage Broking) - - MFAA ~ 2016 - Advanced Diploma of Financial Planning - - Monarch Institute ~ 2018 - Diploma of Financial Planning - - Monarch Institue |
| Brian Andrew Greaves | 2000 | 1993 - Bachelor of Commerce - - The University of Newcastle ~ 1995 - Certified Practising Accountant - - CPA Australia ~ 2001 - Diploma of Financial Planning - - Financial Planning Association ~ 2013 - Margin Lending - - GWM Adviser Services |
| Carlo Anselmo Borrelli | 2016 | 1999 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2002 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2011 - FNS04 Financial Services Training Package - Other - terra cordis |
| Catherine Anne Rademeyer | 2011 | 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - AAMC Training Group ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2016 - Self Managed Superannuation Funds - Other - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Certificate (AQF 8) - Kaplan ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Catherine Belford | 2018 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Integrity Education Group ~ 2017 - Self-Managed Superannuation Funds - Other - Integrity Education Group ~ 2020 - Margin Lending - Other - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Christopher Kourt | 2023 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - SMSF Regulations and Taxation - Professional Designations - Kaplan Professional |
| Christopher Paul Naraniecki | 2008 | 2009 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy ~ 2011 - Diploma of Financial Services (Finance/Mortgage Broking Management) - - Traineeship Management Australia |
| Colin Mark Kruger | 1991 | 1997 - Entry Level Competencies for Financial Services Professionals - Other - Integratec ~ 1998 - Risk Management & Insurance Planning - Other - Financial Advice Association Australia ~ 2001 - Superannuation & Retirement Planning - Other - Kaplan Professional ~ 2001 - Taxation Planning - Other - Kaplan Professional ~ 2002 - Investment Planning 1 - Other - Kaplan Professional |
| Daniel Martin Mitrik | 0 | 2019 - Bachelor of Business (Finance & International Business) - Bachelor Honours Degree (AQF 8) - Swinburne University of Technology ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Swinburne University of Technology |
| David Keith Smith | 2012 | 2007 - Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2011 - Certificate IV Financial Services (Finance/Mortgage Broking) - - International Institute of Technology Pty Ltd (IIT) ~ 2011 - Diploma of Financial Services (Finance/Mortgage Broking Management) - - International Institute of Technology Pty Ltd (IIT) ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - International Institute of Technology Pty Ltd (IIT) ~ 2021 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - University of New England |
| Edward John Forkin | 2004 | 2004 - Advanced Diploma of Financial Services (Financial Planning) - - ThreeSixty ~ 2011 - SMSF - Other - Kaplan |
| Elizabeth Chevel | 2015 | 2013 - Diploma of Financial Planning - - Mentor Education ~ 2015 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2017 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education ~ 2017 - Self Managed Superannuation Funds - - Mentor Education |
| Glen Raymond Kissell | 1994 | 1994 - Bachelor of Laws - Bachelor Degree (AQF 7) - Bond University ~ 2006 - Diploma in Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education |
| Gregg Kristian Watts | 2009 | 2008 - Diploma of Financial Planning - - Mentor Education ~ 2014 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2017 - Self Managed Superannuation Fund Course - - Mentor Education |
| Jacqueline Mary Hodges | 2016 | 1998 - Bachelor of Commerce - - The University of Queensland ~ 2012 - Master of Tax - - The University of Melbourne ~ 2015 - Diploma of Financial Planning - - McMasters Training Pty Ltd |
| Jacques Hugo | 2013 | 1993 - The Degree of Bachelor of Accounting Science - - University of South Africa ~ 1995 - The Degree of Honours Bachelor of Accounting Science - - University of South Africa ~ 2012 - Diploma of Financial Services - - Intellitrain ~ 2013 - Diploma of Financial Planning - - AAMC Training Group |
| James Andre Thane | 2010 | 2010 - Diploma of Financial Services - - AAMC Training Group |
| Jamie Christian Albanis | 2017 | 2016 - Bachelor of Business - - Swinburne University of Technology ~ 2017 - Diploma of Financial Planning - - Integrity Education Group ~ 2017 - SMSF - - Integrity Education Group |
| Jeffrey Anthony Stella | 1991 | 2003 - Diploma of Financial Planning - - Financial Planning Association ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - Self Managed Superannuation Funds - - Mentor ~ 2013 - Advanced Diploma of Financial Planning - - Mentor |
| Karin Cornelia Bennett | 2016 | 2004 - Diploma of Financial Services - - Integratec ~ 2013 - Master of Commerce - - University of New England ~ 2015 - Master of Financial Services - - University of New England ~ 2016 - Accountants Self Managed Superannuation Funds Package - - Kaplan Professional |
| Kurukulasooriya Antony Viraj Evered Fernando | 2017 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2014 - Bachelor of Accounting - Bachelor Degree (AQF 7) - University of South Australia ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Kyrillos Ghaly | 0 | 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Marcus Cameron Nicholls | 2004 | 2003 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2006 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2015 - Cavendish & ICFS Specialist SMSF Course - Other - University of Adelaide |
| Mark Alexander Rigby | 2010 | 2010 - Diploma of Financial Services (Financial Planning) - - AAMC Training Group |
| Mark Antony Blunden | 2012 | 1997 - Bachelor of Commerce - - University of Ballarat ~ 2012 - Diploma of Financial Planning - - Mentor Education Pty Ltd ~ 2015 - Diploma of Finance and Mortgage Broking Management - - Kaplan Professional |
| Martin John Dobson | 1999 | 1993 - Associate Financial Planner - - University of NSW ~ 2009 - ASX Listed Products Accreditation Course - - LPAC Online ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Matthew Grant | 2012 | 2012 - Diploma of Financial Services ( Financial Planning) - - Kaplan |
| Matthew Perry | 2003 | 2006 - Diploma of Financial Services - - Dover Financial Training |
| Matthew Voce | 2011 | 2004 - Bachelor of Commerce - - Curtin University of Technology ~ 2011 - Core 1 Securities & Managed Investments Accreditation - - Deakin Prime ~ 2011 - Margin Lending Accreditation - - Deakin Prime ~ 2020 - CFP Certification Program - Professional Designations - FPA ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Maureen Drieberg | 2007 | 1980 - Bachelor of Business - - Caulfield institute of technology ~ 2007 - Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2011 - Certificate IV Financial Services (Finance/Mortgage Broking) - - International Institute of Technology Pty Ltd (IIT) ~ 2011 - Diploma of Financial Services (Finance/Mortgage Broking Management) - - International Institute of Technology Pty Ltd (IIT) ~ 2021 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - University of New England |
| Michael Pelosi | 2012 | 2012 - Certificate Financial Services - - Pinnacle ~ 2013 - Diploma of Financial Planning - - Pinnacle ~ 2015 - SMSF Course - - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - - Pinnacle ~ 2017 - Responsible Manager Introductory Program - - Kaplan |
| Mitchell Kelsey | 2018 | 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2017 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Neil Hamilton | 1987 | 2004 - PS 146 Compliance program - - Kaplan Education Pty Ltd ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology |
| Nicolette Ellen DU Toit | 2015 | 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2015 - ASIC RG146 Tier 1 Insurance Broking Compliance - - Australian and New Zealand Institute of Insurance and Finance |
| Olivia Louise Hughes | 2010 | 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Graduate Diploma in Financial Planning - - Kaplan Professional ~ 2016 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professiona ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan Professional |
| Patrick Joseph Moore | 1984 | 1999 - Retirement Planning - - Financial Planning Association of Australia ~ 1999 - Risk Management and Insurance Planning - - Financial Planning Association of Australia ~ 2006 - PS146 Training Course 1 Managed Investments and Securities - - Financial Services Training and Assessment ~ 2006 - PS146 Training Course Introduction to Financial Planning and Services - - Financial Services Training and Assessment |
| Paul Anthony Wratten | 2016 | 2016 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group ~ 2016 - Self Managed Superannuation Fund Adviser (Personal Advice) - Other - Mentor Education ~ 2017 - Margin Lending (Personal Advice) - Other - Mentor Education |
| Rachel Anne Botha | 2016 | 2007 - Bachelor of Laws - - Queensland University of Technology ~ 2016 - Certificate IV in Finance and Mortgage Broking - - AAMC Training Group ~ 2016 - Diploma of Financial Planning - - Monach Institute |
| Regina Hocking | 2015 | 2012 - Diploma of Financial Planning - Diploma (AQF 5) - MLC Limited ~ 2014 - Pinnacle Financial Services Academy Pty Ltd - Advanced Diploma (AQF 6) - Advanced Diploma of Financial Planning ~ 2018 - Fellow Chartered Financial Practitioner - Professional Designations - AFA ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Robert Jack Standing | 2013 | 2013 - Bachelor of Economics and Social Sciences - - University of Sydney ~ 2013 - Diploma of Financial Planning - - Pinnacle ~ 2015 - SMSF Course - - Kaplan |
| Robert Klaus Rollfink | 2010 | 2002 - Bachelor of Business (Accounting & Commercial Law) - Bachelor Degree (AQF 7) - Victoria University ~ 2005 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2013 - Diploma of Finance & Mortgage Broking Management - Diploma (AQF 5) - AAMC Training Group |
| Robert Porte | 2001 | 1997 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) ~ 1999 - Diploma of Financial Markets - - Securities Institute ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - Self Managed Superannuation Funds - - Kaplan ~ 2014 - Accredited Listed Product Adviser Program - - Kaplan |
| Roger Gordon Prince | 2005 | 2005 - Diploma of Financial Services (Financial Planning) (FNS50804) - - AMP Financial Services ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2013 - FNS50311 Diploma of Finance and Mortgage Broking Management - - South Western Sydney Institute |
| Romulae JR Ramirez Gadaoni | 2016 | 1998 - Saint Louis University - - Bachelor of Accounting ~ 2006 - Saint Louis University - - Bachelor of Laws ~ 2014 - Advanced Diploma of Financial Planning - - Monarch Institute ~ 2016 - Diploma of Financial Planning - - Monarch Institute ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Ryan William Baker | 2009 | 2002 - Diploma of Business - - Perth Institute of Business and Technology ~ 2006 - Diploma of Financial Planning - - Kaplan ~ 2014 - Taxation Fundamentals (DFP 5) - - Kaplan |
| Samuel Yong-ang Chen | 0 | 2024 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - University of Technology Sydney |
| Simon James Burge | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - - AMP Limited ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Simon John Thomas | 1994 | 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2010 - Certificate IV Financial Services (Finance/Mortgage Broking) - Certificate (AQF 1-4) - Intellitrain Pty Ltd ~ 2010 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Professional |
| Stephen Craig Sherar | 2008 | 2008 - Bachelor of Commerce (Accounting and Financial Planning) - - Deakin University ~ 2012 - Diploma of Financial Services (Finance/Mortgage Broking Management) - - The National Finance Institute |
| Steven George Apostolou | 2017 | 2002 - Bachelor of Commerce (Banking and Finance) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2017 - Diploma of Financial Planning (FNS50615) - Diploma (AQF 5) - Monarch Institute ~ 2017 - FNS10 Financial Services Training Package - Other - Terra Cordis |
| Tamara Joy Virgo | 2013 | 2013 - Diploma of Financial Planning - - AAMC Training Group ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Tinashe Rusinga | 2014 | 2011 - Bachelor of Economics & Finance - - Murdoch ~ 2013 - Diploma of Financial Planning - - Kaplan ~ 2014 - Self Managed Superannuation Funds - - Kaplan |
| Tingting Jia | 2016 | 2010 - Bachelor of Business - - La Trobe University ~ 2012 - Master of Management - - University of Melbourne ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Margin Lending Adviser - - Mentor Education ~ 2016 - Self Managed Superannuation Fund Adviser - - Mentor Education |
| Trent Burton Sampson | 1992 | 2004 - Advanced Diploma of Financial Services (Financial Planning) - - ThreeSixty ~ 2013 - Diploma of Financial Planning - - Pinnacle Financial Services Academy ~ 2014 - Insurance Brokers Code of Practice - - Goldseal Campus |
| Venesa Isbel Agness West | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Vinod Kumar | 2018 | 2018 - Diploma of Financial Plannin - Diploma (AQF 5) - International Institute of Technology ~ 2018 - Principles of Self Managed Superannuation Funds - - International Institute of Technology |
| Wae Tat Yap | 2012 | 2011 - Diploma of Financial Services ( Financial Planning) - - AAMC Training Group |
| Xiao Fei Max Song | 2021 | 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Yuan Gao | 2018 | 2004 - Diploma of Business and Commerce - Diploma (AQF 5) - UTS ~ 2006 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Unviersity of Tasmania ~ 2013 - Certificate IV Finance and Mortgage Broking - Certificate (AQF 1-4) - AAMC ~ 2017 - Diploma of Financial Planning - - AAMC Training Group |
| Zachary James Edward Sanders | 2014 | 2014 - Bachelor of Commerce (Financial Planning) - - Curtin University |