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 | Bachelor of Business (Hospitality Management) - The University of Queensland ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Andrew Mill | 2011 | Diploma of Financial Planning - Kaplan Professional Education |
| Andrew Peter Bailo | 2001 | Diploma of Accounting - TAFE QLD ~ Diploma of Financial Planning - Deakin University ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Graduate Certificate in Professional Accounting - University of New England ~ Master of Business Administration - University of New England |
| Andrew Robards | 2004 | Bachelor of Economics - University of New England ~ Diploma of Financial Planning - Financial Planning Association of Australia Limited ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation - AAMC ~ Understanding the Finance and Investment Industry - Securities Institute |
| Anthony Douglass | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Risk Management) - ANZIIF ~ Margin Lending - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Anthony William Machin | 1985 | DFP1 Introduction to Financial Planning - Financial Planning Association of Austalia ~ DFP2 Risk Management and Insurance Planning - Financial Planning Association of Austalia ~ Investment Planning 1 - Kaplan Professional ~ SuperConcepts & ICFS Specialist SMSF online course - The University of Adelaide ~ Superannuation & Retirement Planning - Kaplan Professional |
| Arron Russell | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business - University of Newcastle ~ Bachelor of Finance - University of Newcastle ~ Diploma of Financial Services (Financial Planning) - AMP Limited |
| Brandon Peter Robards | 2024 | Graduate Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan |
| Brett Anthony Christie | 2009 | Advanced Diploma of Financial Planning - Monarch Institute ~ Certificate IV Financial Services (Finance/Mortgage Broking) - MFAA ~ Diploma of Financial Planning - Monarch Institue |
| Brian Andrew Greaves | 2000 | Bachelor of Commerce - The University of Newcastle ~ Certified Practising Accountant - CPA Australia ~ Diploma of Financial Planning - Financial Planning Association ~ Margin Lending - GWM Adviser Services |
| Carlo Anselmo Borrelli | 2016 | FNS04 Financial Services Training Package - terra cordis ~ Graduate Diploma in Applied Finance and Investment - Securities Institute ~ Graduate Diploma of Financial Planning - FINSIA |
| Catherine Anne Rademeyer | 2011 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Services (Financial Planning) - AAMC Training Group ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Catherine Belford | 2018 | Advanced Diploma of Financial Planning - Integrity Education Group ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending - Kaplan Professional ~ Self-Managed Superannuation Funds - Integrity Education Group |
| Christopher Kourt | 2023 | Graduate Diploma of Financial Planning - Kaplan |
| Christopher Paul Naraniecki | 2008 | Diploma of Financial Services (Finance/Mortgage Broking Management) - Traineeship Management Australia ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy |
| Colby James Lanphere | 2024 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Colin Mark Kruger | 1991 | Entry Level Competencies for Financial Services Professionals - Integratec ~ Investment Planning 1 - Kaplan Professional ~ Risk Management & Insurance Planning - Financial Advice Association Australia ~ Superannuation & Retirement Planning - Kaplan Professional ~ Taxation Planning - Kaplan Professional |
| Daniel Martin Mitrik | 0 | Bachelor of Business (Finance & International Business) - Swinburne University of Technology ~ Graduate Diploma of Financial Planning - Swinburne University of Technology |
| David Arnold Brahms | 1991 | DFP 1-7 - Deakin University Distance Education ~ Diploma of Financial Planning - Financial Planning Association ~ Margin Lending Accreditation tiprogam - Financial Assentials |
| David Keith Smith | 2012 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Certificate IV Financial Services (Finance/Mortgage Broking) - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Services (Finance/Mortgage Broking Management) - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ MM467 Professional Ethics - University of New England |
| David Toms | 2023 | Bachelor of Economics and Finance - The Universtity of New South Wales ~ Graduate Diploma of Financial Planning - Deakin University |
| Edward John Forkin | 2004 | Advanced Diploma of Financial Services (Financial Planning) - ThreeSixty ~ SMSF - Kaplan |
| Eldho Paul | 2018 | Diploma of Finance and Mortgage Broking Management - Kaplan ~ Diploma of Financial Planning - Monash Institute |
| Elizabeth Chevel | 2015 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - Mentor Education ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education ~ Self Managed Superannuation Funds - Mentor Education |
| Glen Raymond Kissell | 1994 | Bachelor of Laws - Bond University ~ Diploma in Financial Services (Financial Planning) - Mentor Education |
| Gregg Kristian Watts | 2009 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - Mentor Education ~ Self Managed Superannuation Fund Course - Mentor Education |
| Jacqueline Mary Hodges | 2016 | Bachelor of Commerce - The University of Queensland ~ Diploma of Financial Planning - McMasters Training Pty Ltd ~ Master of Tax - The University of Melbourne |
| Jacques Hugo | 2013 | Diploma of Financial Planning - AAMC Training Group ~ Diploma of Financial Services - Intellitrain ~ The Degree of Bachelor of Accounting Science - University of South Africa ~ The Degree of Honours Bachelor of Accounting Science - University of South Africa |
| James Andre Thane | 2010 | Diploma of Financial Services - AAMC Training Group |
| Jamie Christian Albanis | 2017 | Bachelor of Business - Swinburne University of Technology ~ Diploma of Financial Planning - Integrity Education Group ~ SMSF - Integrity Education Group |
| Jeffrey Anthony Stella | 1991 | Advanced Diploma of Financial Planning - Mentor ~ Diploma of Financial Planning - Financial Planning Association ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Mentor |
| Karin Cornelia Bennett | 2016 | Accountants Self Managed Superannuation Funds Package - Kaplan Professional ~ Diploma of Financial Services - Integratec ~ Master of Commerce - University of New England ~ Master of Financial Services - University of New England |
| Katarzyna Maria Urbanik | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business Management - The University of Queensland ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |
| Kurukulasooriya Antony Viraj Evered Fernando | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Accounting - University of South Australia ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy |
| Marcus Cameron Nicholls | 2004 | Advanced Diploma Financial Services (Financial Planning) FNS60404 - Kaplan Australia ~ Cavendish & ICFS Specialist SMSF Course - University of Adelaide ~ Diploma Financial Services (Financial Planning) FNS50804 - Kaplan Australia |
| Mark Alexander Rigby | 2010 | Diploma of Financial Services (Financial Planning) - AAMC Training Group |
| Mark Antony Blunden | 2012 | Bachelor of Commerce - University of Ballarat ~ Diploma of Finance and Mortgage Broking Management - Kaplan Professional ~ Diploma of Financial Planning - Mentor Education Pty Ltd |
| Martin John Dobson | 1999 | ASX Listed Products Accreditation Course - LPAC Online ~ Associate Financial Planner - University of NSW ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Matthew Grant | 2012 | Diploma of Financial Services ( Financial Planning) - Kaplan |
| Matthew Perry | 2003 | Diploma of Financial Services - Dover Financial Training |
| Matthew Voce | 2011 | Bachelor of Commerce - Curtin University of Technology ~ CFP Certification Program - CFP ~ Core 1 Securities & Managed Investments Accreditation - Deakin Prime ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Margin Lending Accreditation - Deakin Prime |
| Maureen Drieberg | 2007 | Bachelor of Business - Caulfield institute of technology ~ Certificate IV Financial Services (Finance/Mortgage Broking) - International Institute of Technology Pty Ltd (IIT) ~ Diploma in Mortgage Lending - Securities Institute ~ Diploma of Financial Services (Finance/Mortgage Broking Management) - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd |
| Michael Pelosi | 2012 | Advanced Diploma of Financial Planning - Pinnacle ~ Certificate Financial Services - Pinnacle ~ Diploma of Financial Planning - Pinnacle ~ Responsible Manager Introductory Program - Kaplan ~ SMSF Course - Kaplan |
| Michaela Ester Martin | 0 | Bachelor of Commerce ( Accounting) - Uuniversity of the Sunshine Coast |
| Neil Hamilton | 1987 | Advanced Diploma of Financial Planning - International Institute of Technology ~ PS 146 Compliance program - Kaplan Education Pty Ltd |
| Nicholas Kenneth Jolly | 2017 | Bachelor of Economics - University of Western Australia ~ Diploma of Financial Planning - Monarch Institute |
| Patrick Joseph Moore | 1984 | PS146 Training Course 1 Managed Investments and Securities - Financial Services Training and Assessment ~ PS146 Training Course Introduction to Financial Planning and Services - Financial Services Training and Assessment ~ Retirement Planning - Financial Planning Association of Australia ~ Risk Management and Insurance Planning - Financial Planning Association of Australia |
| Rachel Anne Botha | 2016 | Bachelor of Laws - Queensland University of Technology ~ Certificate IV in Finance and Mortgage Broking - AAMC Training Group ~ Diploma of Financial Planning - Monach Institute |
| Ralph Emlyn Morgan | 2018 | Diploma of Financial Planning - IIT ~ Graduate Diploma in Applied Chemistry - University of Western Sydney ~ Graduate Diploma of Applied Science (Industrial Math & Computing) - Charles Sturt University ~ Master of Astronomy - James Cook University ~ Master of Financial Plannng - Western Sydney University |
| Regina Hocking | 2015 | Diploma of Financial Planning - MLC Limited ~ Fellow Chartered Financial Practitioner - AFA ~ Graduate Diploma of Financial Planning - Kaplan ~ Pinnacle Financial Services Academy Pty Ltd - Advanced Diploma of Financial Planning |
| Robert Jack Standing | 2013 | Bachelor of Economics and Social Sciences - University of Sydney ~ Diploma of Financial Planning - Pinnacle ~ SMSF Course - Kaplan |
| Robert Klaus Rollfink | 2010 | Bachelor of Business (Accounting & Commercial Law) - Victoria University ~ Diploma of Finance & Mortgage Broking Management - AAMC Training Group ~ Diploma of Financial Planning - Mentor Education |
| Robert Porte | 2001 | Accredited Listed Product Adviser Program - Kaplan ~ Diploma of Financial Markets - Securities Institute ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Roger Gordon Prince | 2005 | Diploma of Financial Services (Financial Planning) (FNS50804) - AMP Financial Services ~ FNS50311 Diploma of Finance and Mortgage Broking Management - South Western Sydney Institute ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Romulae JR Ramirez Gadaoni | 2016 | Advanced Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Planning - Monarch Institute ~ Master of Financial Planning - Kaplan Professional ~ Saint Louis University - Bachelor of Accounting ~ Saint Louis University - Bachelor of Laws |
| Ryan William Baker | 2009 | Diploma of Business - Perth Institute of Business and Technology ~ Diploma of Financial Planning - Kaplan ~ Taxation Fundamentals (DFP 5) - Kaplan |
| Simon James Burge | 2007 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - AMP Limited |
| Simon John Thomas | 1994 | Certificate IV Financial Services (Finance/Mortgage Broking) - Intellitrain Pty Ltd ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Stephen Craig Sherar | 2008 | Bachelor of Commerce (Accounting and Financial Planning) - Deakin University ~ Diploma of Financial Services (Finance/Mortgage Broking Management) - The National Finance Institute |
| Tamara Joy Virgo | 2013 | Diploma of Financial Planning - AAMC Training Group ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Tinashe Rusinga | 2014 | Bachelor of Economics & Finance - Murdoch ~ Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Tingting Jia | 2016 | Bachelor of Business - La Trobe University ~ Diploma of Financial Planning - Kaplan Professional ~ Margin Lending Adviser - Mentor Education ~ Master of Management - University of Melbourne ~ Self Managed Superannuation Fund Adviser - Mentor Education |
| Trent Burton Sampson | 1992 | Advanced Diploma of Financial Services (Financial Planning) - ThreeSixty ~ Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Insurance Brokers Code of Practice - Goldseal Campus |
| Venesa Isbel Agness West | 2008 | Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Vinod Kumar | 2018 | Diploma of Financial Plannin - International Institute of Technology ~ Principles of Self Managed Superannuation Funds - International Institute of Technology |
| Wae Tat Yap | 2012 | Diploma of Financial Services ( Financial Planning) - AAMC Training Group |
| Xiao Fei Max Song | 2021 | Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Yuan Gao | 2018 | Bachelor of Commerce - Unviersity of Tasmania ~ Certificate IV Finance and Mortgage Broking - AAMC ~ Diploma of Business and Commerce - UTS ~ Diploma of Financial Planning - AAMC Training Group |
| Zachary James Edward Sanders | 2014 | Bachelor of Commerce (Financial Planning) - Curtin University |