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;
derivatives;
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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
non-standard margin lending facility;
standard margin lending facility; and
superannuation;
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:
derivatives; and
interests in managed investment schemes limited to:
MDA services;
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;
derivatives;
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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
non-standard margin lending facility;
standard margin lending facility; and
superannuation; and
underwriting:
an issue of securities; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alexandra Seelenmeyer | 2010 | Accredited Derivatives Adviser Level 1 and 2 - Kaplan ~ Bachelor Degree - Commerce - University of New South Wales ~ Securities and Managed Investments - Stockbrokers Association of Australia |
| Andrew Nash | 2000 | Diploma of stockbroking 2010 - SDIA ~ Margin Lending Accreditation Program - SDIA |
| Anthony Bowden | 1998 | Diploma in Financial Advising - Securities Institute ~ Master of Financial Planning - University of the Sunshine Coast ~ Superannuation: Advice and Regulation - Securities Institute |
| Anthony Mcgrath | 1992 | The SDIA Accreditation Program - Deakin University |
| Ashleigh Renee Symes | 2018 | Bachelor of Commerce - Griffith University ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan |
| Benjamin Lawson James Davis | 2006 | Bachelor of Comms and Law - University of Tasmania ~ Cerified Financial Planner - FPA ~ Graduate Diploma of Financial Planning - Finsia ~ Margin Lending Accreditation Program - SDIA ~ Masters of Applied Finance - Kaplan |
| Benjamin Talbott | 2018 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Arts - Loughborough University ~ Diploma of Financial Planning - Mentor Education |
| Bradley Gale | 2001 | Bachelors of Commerce - University of WA ~ Graduate Diploma of Applied Finance and Investment - SIA ~ Lifecycle Investment Strategies - Kaplan ~ Margin lending: obligations for financial advisers - Kaplan ~ RG146 Superannuation - RMIT University |
| Casimir John Skillecorn | 1999 | ADA 1 - Deakin ~ Bachelor of Agricultural Economics - Sydney University ~ Diploma Of Financial Planning/Certified Financial Planning - Deakin University ~ Master of Economics - University of Sydney ~ RG146 - Deakin Prime |
| Chad Victor Hohnen | 2012 | Bachelor of Accounting - Central Queensland University ~ Bachelor of Financial Planning - Central Queensland University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Charles Robert Thomasson | 2007 | Bachelor Commerce/Business Management - University of Queensland ~ Graduate Diploma - Institute of Chartered Accountants in Australia (ICAA) ~ Margin Lending Accreditation Program - SDIA ~ Statement of Attainment: Securities - FINSIA ~ Statement of Attainment: Super - FINSIA |
| Charles Sayers | 2016 | Foundations of Financial Planning Part A - Kaplan ~ Securities and Managed Funds - Kaplan |
| Christopher Malcolm Dale | 1997 | Bachelor of Arts - Monash University ~ Bachelor of Economics - Monash University ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Deakin ~ Margin Lending Accreditation Program - Kaplan |
| Christopher Paul Hutton | 2005 | Margin Lending Accrediation Program - SDIA ~ Masters of Applied Finance - QLD University of Technology ~ Professional Diploma in Stockbroking - SDIA ~ RG146 Qualifications - Super - RMIT University ~ SDIA Accreditation Program - SDIA |
| Christopher Taylor | 2008 | Bachelor of Commerce - Deakin University ~ Graduate Diploma of Applied Finance - Kaplan ~ Professional Diploma in Stockbroking - SDIA ~ SDIA Accreditation Program - SDIA |
| Connor Stott | 2024 | Bachelor of Commerce - University of Queensland ~ Graduate Diploma of Financial Planning - Kaplan |
| Daniel Anthony Pitt | 2000 | ADA 1 - Deakin Prime ~ Bachelor of Economics - Macquarie University ~ Grad Dip Finance and Investment - FINSIA ~ RG146 - Deakin Prime |
| David Mccrory | 2011 | Margin Lending Accreditation Program - SDIA ~ Professional Diploma in Stockbroking - SDIA |
| David Russell | 2010 | Bachelor of Commerce - The University of Queensland ~ Margin Lending - SDIA ~ Professional Diploma in Stockbroking - SDIA ~ RG146 Superannuation Certificate - RMIT University |
| David Thompson | 2010 | Bachelor of Commerce - University of Queensland ~ Investment Planning - KAPLAN ~ Margin Lending Accreditation Program - SDIA ~ RG146 Qualifications - Superannuation and Retirement Planning - KAPLAN |
| Donna Lee Mcwilliam | 2002 | Bachelor of Business (Banking & Finance) - Monash University ~ Certified Financial Planner - FPA ~ Graduate Diploma of Financial Planning - FINSIA |
| Emmanuel Solinap | 2004 | Diploma of Financial Services - SIA ~ Margin Lending Accreditation Program - SDIA |
| Gagandeep Singh Johal | 2018 | Bachelor of Business (Finance) - QUT ~ Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Graduate Certificate in Business (Applied Finance) - Queensland University of Technology ~ Master of Business (Applied Finance) - Queensland University of Technology ~ RG146 Superannuation - Association of Superannuation Funds of Australia |
| Graham John Craig | 1998 | Margin Lending Accreditation Program - SDIA ~ SDIA Accreditation Program - SDIA |
| Hugh Gengoult-smith | 2000 | Bachelor of Finance and Economics - Latrobe University ~ Evaluating asset allocation approaches - Kaplan ~ Graduate Diploma of Applied Finance and Investment - FINSIA ~ Listed Investment companies - Kaplan ~ Margin Lending Accreditation Program - SDIA |
| Ian Hamish Campbell | 1997 | Graduate Diploma in applied Finance & Investment - Securities Institute ~ Margin Lending and Geared Investments - Kaplan ~ Tier 1 Superannuation - Personal Advice - Kaplan |
| Jake Beazley | 2015 | 910 Generic Knowledge - Kaplan ~ 928- Margin Lending - Kaplan ~ Securities and Mnaged Investments - Kaplan |
| Lachlan Mclean | 2003 | Bachelor Business (Banking & Finance) - QLD University of Technology ~ Bachelor of Applied Science (Property Economics) - QLD University of Technology ~ Graduate Diploma Applied Finance and Investment - Finsia ~ Professional Diploma in Stockbroking - SDIA |
| Luke David Mcculkin | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Cavendish & ICFS Specialist SMSF Course - The University of Adelaide ~ Diploma of Financial Services (Financial Planning) - Mentor |
| Matthew Clayworth | 1999 | Bachelor of Commerce - University of Queensland ~ Graduate Diploma in Applied Finance and Investment - SDIA ~ Margin Lending Accreditation Program - SDIA |
| Matthew Crick | 2018 | Bachelor of Business (Management) - University of Queensland ~ DPP5v3 Tax for Financial Advising - Kaplan ~ Diploma of Financial Planning - Monarch Institute ~ Graduate Certificate in Commerce - The University of Queensland |
| Matthew David Rose | 2015 | Bachelor of Business Administration in Sports Management - Macquarie University ~ Diploma of Financial Planning - Pinnacle ~ Masters of Applied Finance - Charles Sturt University |
| Matthew Joseph Sharratt | 2007 | Financial Markets Core Module - AFMA ~ Futures Module - AFMA ~ Margin Lending & Geared Investments - Kaplan Professional ~ The SDIA Accreditation Program - Deakin University |
| Matthew Martin | 2010 | Bachelor of Commerce - University of Queensland ~ Chartered Accountant (CA) CA Program Graduate Diploma - Institute of Chartered Accountants of Australia (ICAA) ~ Chartered Accountant (CA) CA Program – Graduate Diploma - Institute of Chartered Accountants of Australia (ICAA) ~ Graduate Diploma of Applied Finance & Investment - Kaplan ~ Margin Lending Accreditation Program - SDIA ~ Professional Diploma in Stockbroking - SDIA |
| Maximilian Rees | 2018 | Bachelor of Finance - The Australian National University |
| Nash David Catchlove | 2012 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business (Financial Planning) - Royal Melbourne Institute of Technology (RMIT) ~ Diploma of Financial Services (Financial Planning) - Kaplan |
| Natasha Louise Burns | 2018 | Bachelor of Business Management - The University of Queensland ~ Bachelor of Commerce - The University of Queensland ~ Diploma of Financial Planning - Kaplan Professional |
| Nathan Spencer | 2005 | Bachelor of Business (Management) - Queensland University of Technology ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Graduate Diploma of Applied Finance and Investment - FINSIA |
| Nicholas Jones | 2011 | Advanced Diploma of Financial Services - KAPLAN ~ Bachelor of Business (Finance) - Queensland University of Technology ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services - KAPLAN |
| Nigel Adams | 1992 | Diploma Course of the Securities Institute of Australia - The Securities Institute of Australia ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Postgraduate Certificate in Applied Finance - Macquarie University |
| Patrick Henry Campbell Edgar | 1996 | Bachelor of Social Science (Information Management) - University of Melbourne ~ Diploma of Financial Advising - SDIA ~ Margin Lending Accreditation Program - SDIA |
| Patrick James Reeves | 2010 | Advanced Diploma of Financial Planning - Kaplan Australia ~ Bachelor of Commerce (Accounting) - University of Southern Queensland ~ Diploma Financial Services (Financial Planning) FNS50804 - Kaplan Australia ~ Graduate Diploma of Chartered Accounting - Institute of Chartered Accountants Australia |
| Paul Aliprandi | 2018 | Financial Planning Certification - Financial Planning Association ~ Financial Planning Certification - Financial Planning Association ~ Master of Taxation - Sydney University ~ Master of Taxation - Sydney University ~ Pinnacle SMSF Personal Advice Solution - Pinnacle Financial Services Academy ~ Pinnacle SMSF Personal Advice Solution - Pinnacle Financial Services Academy ~ Professional Year - Chartered Accountants Australia and New Zealand ~ Professional Year - Chartered Accountants Australia and New Zealand ~ RG146 - Pinnacle Financial Services Academy ~ RG146 - Pinnacle Financial Services Academy |
| Paul Cameron Bryant | 2005 | Bachelor of Commerce - University of Queensland ~ Graduate Certificate in Financial Planning - Securities Institute |
| Peter Haskins | 2018 | ASIC PS146 Compliance - Securities and Derivatives Industry Association ~ Bachelor of Commerce - University of Western Sydney ~ Graduate Diploma of Financial Planning - FINSIA ~ Margin Lending and Geared Investments Certification - Kaplan ~ Master of Applied Finance - Kaplan |
| Peter James Moran | 1999 | ADA Level 2 - Tribeca ~ Bachelor of Economics - La Trobe University ~ Graduate Diploma Applied Finance and Investment - FINSIA |
| Peter Jones | 1996 | Accredited Derivatives Adviser (Level I) - Kaplan ~ Accredited Derivatives Adviser (Level II) - Kaplan ~ Advanced Diploma in Financial Planning - Kaplan ~ Bachelor of Commerce (Marketing and Business Management) - Lincoln University ~ Post Graduate Diploma - Rural Valuation and Farm Management - Lincoln Univerity |
| Peter Robotis | 2005 | Advanced Diploma of Financial Services (Financial Planning) - KAPLAN ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ SMSF Specialist Adviser - SMSF Association |
| Richard James Andrew Cooper | 1998 | Bachelor of Economics - University of Queensland ~ Margin Lending Accreditation Program - Stockbrokers and Financial Advisers Association Limited |
| Robert Shears | 2010 | Bachelor of Business - Queensland University of Technology ~ Graduate Certificate in Applied Finance and Investments - FINSIA ~ Margin Lending Accreditation Program - SDIA ~ Professional Diploma in Stockbroking - SDIA ~ Superannuation Accreditation Program - SDIA |
| Saxon Mew | 2010 | Bachelor of Commerce - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Master of Applied Finance - KAPLAN ~ Master of Economics - The University of Queensland ~ Superannuation - RMIT University |
| Scott Alistair Relf | 2015 | Bachelor of Commerce (Finance & Marketing) - Curtin University of Technology ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Applied Finance - Kaplan Professional |
| Scott Sanders | 2011 | Bachelor of Business - La Trobe University ~ Diploma of Financial Services (Financial Planning) - Investment Banking Institute ~ Graduate Certificate of Business - Monash University ~ Margin Lending and Gearing Investments - Kaplan ~ Masters of Business Administration - Melbourne Business School |
| Sean Lyons | 2012 | Accredited Derivatives Adviser Level 1 Exam - Kaplan Professional Education ~ Bachelor of Business & Commerce - Monash University ~ FASEA Financial Adviser Exam - ASIC ~ Margin Lending & Geared Investments - Kaplan Professional Education ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association |
| Shane Anthony Coster | 2010 | ADA Level 2 - Kaplan ~ Diploma in Financial Markets - SDIA ~ Professional Diploma in Stockbroking - SDIA |
| Simon James Lynch | 2014 | Bachelor of Business - Royal Melbourne Institute of Technology ~ Margin Lending - Stockbrokers Association of Australia ~ Master of Applied Finance - Macquarie University ~ Securities and Managed Investments - Stockbrokers Association of Australia ~ Superannuation Accreditation - Stockbrokers Association of Australia |
| Stephen James Bone | 2004 | Diploma of Financial Planning - Financial Planning Association ~ Economic and Legal Context for Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Financial Planning - Kaplan ~ SMSF Specialist Adviser - SMSF Association |
| Sylvia Timso | 2016 | Advanced Diploma of Financial Planning - Kaplan ~ Master of Applied Finance - Macquarie University |
| Todd Luke Cole | 2010 | Accredited Derivatives Adviser Level 1 - Kaplan ~ Bachelor of Commerce (Financial Planning)/Bachelor of International Business - Griffith University ~ Certified Financial Planner - Financial Planner Association of Australia (FPA) ~ Gearing & Margin Lending Certification - Kaplan ~ SMSF Certification - Kaplan |
| Warwick Foot | 2003 | ADA Level 1 - ASX ~ Bachelor of Commerce - University of Queensland ~ Margin Lending and Geared Investment - Kaplan ~ PS146 - Deakin ~ bachelor of economics - University of Queensland |