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:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of 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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Anthony YU Sadrinajafi | 2024 | 2023 - Bachelor of Business Financial Planning - Bachelor Degree (AQF 7) - Swinburne |
| Brad Kenneth Colwell | 2024 | 2018 - Bachelor of Business: Finance, & Entrepreneurship & Innovation - Bachelor Degree (AQF 7) - Swinburne University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Griffith University |
| Brett Sydney-smith | 2010 | 2000 - Bachelor of Business (Management and Sport Management) - - Edith Cowan University ~ 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2012 - CFP - Certified Financial Planner - - Financial Planning Association of Australia ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Christopher Maceachern | 2008 | 2006 - Bachelor of Finance - - La Trobe University ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2011 - SMSF - Technical Accreditation - - FirstTech |
| Danial Nadeem | 2021 | 2017 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2018 - Diploma Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2020 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Daniel Bontempelli | 2013 | 2006 - Certificate IV in Financial Services - - RMIT ~ 2007 - Diploma of Financial services - - RMIT ~ 2011 - Bachelor of Finance - - La Trobe University |
| David Jamieson | 2017 | 2009 - Bachelor of Economics & Finance - - The University of Queensland ~ 2012 - Master of Commerce & Professional Accounting - - The University of Sydney ~ 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Self-managed super funds (Statement of Attainment) - - Integrity Education |
| David King | 2015 | 2005 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2014 - Accredited Listed Product Adviser Program - Diploma (AQF 5) - Kaplan Professional ~ 2014 - FNS10 Financial Services Training Package (SMSF) - Other - Mentor Education ~ 2016 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Enayatullah Samadi | 2012 | 2007 - Diploma of Financial Planning - - RMIT University ~ 2017 - DFP5v3 Tax for Financial Advising - - Kaplan Professional ~ 2017 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education ~ 2017 - TASACLv1 Commercial Law - - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - - Mentor Education |
| Hayden Michael Hill | 2003 | 2004 - Bachelor of Business (Financial Planning) - - RMIT ~ 2019 - Margin Lending - - Kaplan ~ 2019 - Self Managed Superannuation Funds - - Kaplan |
| James Phillip Aris | 2018 | 2016 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Bond University ~ 2017 - ADVANCED DIPLOMA OF FINANCIAL PLANNING - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Graduate Diploma (AQF 8) - KAPLAN ~ 2020 - Self Managed Superannuation Funds - Diploma (AQF 5) - KAPLAN |
| Joanne Doak | 2004 | 2003 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association ~ 2009 - Certified Financial Planner - - Financial Planning Association ~ 2017 - Financial Services Training Package - Diploma (AQF 5) - Terra Cordis Pty Ltd ~ 2017 - Self Managed Superannuation Funds - Diploma (AQF 5) - Terra Cordis Pty Ltd |
| Kaan Cengiz | 2018 | 2018 - Industry Standard Education - RG146 specialist knowledge - - La Trobe University ~ 2019 - Bachelor of Finance (Financial Planning) - Bachelor Degree (AQF 7) - Latrobe University |
| Kristie Notte | 2018 | 2018 - Tier 1 - Life Insurance (Personal Advice) - - Kaplan Professional |
| Lishan Hatharasinghe | 0 | 2021 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University |
| Luke Alan Window | 2013 | 2008 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of South Australia ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Mark Albert | 2000 | 2003 - Diploma of Financial Planning - - Financial Planning Association |
| Mathew Gorman | 0 | 2021 - Bachelor of Commerce (Economics & Financial Planning) - Bachelor Degree (AQF 7) - Griffith University |
| Michael Oren | 2012 | 2012 - Bachelor of Commerce (Finance) - - University of Canterbury ~ 2013 - Diploma of Financial Planning - - Pinnacle Financial Services Academy Pty Ltd |
| Natalie Virr | 2014 | 2014 - Securities and Managed Investments - Diploma (AQF 5) - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2021 - Self Managed Superannuation Funds - Other - Kaplan |
| Nathan Turner | 2013 | 2012 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2012 - Diploma of Financial Planning - - Mentor Education ~ 2012 - Margin Lending and Geared Investments - - Mentor Education ~ 2012 - Self Managed Superannuation Funds - - Mentor Education ~ 2017 - Graduate Diploma of Financial Planning - - Kaplan Professional Education |
| Patrick James Dysart | 2013 | 2012 - Diploma - Financial Planning - - INTERNATIONAL INSTITUTE OF TECHNOLOGY ~ 2016 - Advanced Diploma - Financial Planning - - INTERNATIONAL INSTITUTE OF TECHNOLOGY ~ 2019 - Self Managed Superannuation Fund Adviser (Personal Advice) - - MENTOR ~ 2021 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Griffith University |
| Peter Andritsos | 2000 | 1986 - Bachelor Degree - Economics - - Monash University ~ 2003 - CFP - Certified Financial Planner - - Financial Planning Association of Australia |
| Reece Dolan | 2024 | 2022 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - University Technology Sydney |
| Robert Andrew Creeley | 2007 | 1994 - Bachelor of Business(Marketing) - - Queensland University of Technology ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Education ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan Education |
| Tiffanie Ann Watling | 2017 | 2017 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2017 - Diploma of Financial Planning - - Monarch Institute ~ 2018 - Statement of Attainment - Margin Lending - - Monarch Institute |
| Timothy Velasco | 2015 | 2015 - Bachelor of Financial Advising (Finance Law) - - UWS ~ 2015 - Diploma of Financial Planning - - Pinnacle ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Uni Western Sydney |
| Visnja Raznjevic | 2005 | 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy Pty Ltd ~ 2010 - Margin Lending & Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| William David Coggins | 2018 | 2018 - Graduate Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Accredited Listed Product Adviser Program - - Kaplan Professional |
| Yisroel Rosenbaum | 0 | 2021 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne Uni of Technology |