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 | 2010 - Bachelor Degree - Commerce - - University of New South Wales ~ 2010 - Securities and Managed Investments - - Stockbrokers Association of Australia ~ 2011 - Accredited Derivatives Adviser Level 1 and 2 - Certificate (AQF 1-4) - Kaplan |
| Anthony Bowden | 1998 | 2002 - Diploma in Financial Advising - - Securities Institute ~ 2002 - Superannuation: Advice and Regulation - - Securities Institute ~ 2007 - Master of Financial Planning - - University of the Sunshine Coast |
| Anthony Mcgrath | 1992 | 2002 - The SDIA Accreditation Program - - Deakin University |
| Arabella Imogen Crammond | 0 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2018 - Bachelor of International Business - Bachelor Degree (AQF 7) - Griffith University ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Ashleigh Renee Symes | 2018 | 2012 - Bachelor of Commerce - - Griffith University ~ 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Benjamin Lawson James Davis | 2006 | 2001 - Bachelor of Comms and Law - Bachelor Degree (AQF 7) - University of Tasmania ~ 2004 - Cerified Financial Planner - - FPA ~ 2006 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Finsia ~ 2010 - Margin Lending Accreditation Program - - SDIA ~ 2012 - Masters of Applied Finance - - Kaplan |
| Benjamin Talbott | 2018 | 2009 - Bachelor of Arts - Bachelor Degree (AQF 7) - Loughborough University ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2017 - Advanced Diploma of Financial Planning - - Mentor Education |
| Bradley Gale | 2001 | 1995 - Bachelors of Commerce - - University of WA ~ 2001 - Graduate Diploma of Applied Finance and Investment - - SIA ~ 2003 - RG146 Superannuation - - RMIT University ~ 2012 - Margin lending: obligations for financial advisers - - Kaplan ~ 2014 - Lifecycle Investment Strategies - - Kaplan |
| Campbell Robert Alder | 0 | 2007 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Casimir John Skillecorn | 1999 | 1998 - Bachelor of Agricultural Economics - - Sydney University ~ 2000 - Master of Economics - Masters Degree (AQF 9) - University of Sydney ~ 2002 - RG146 - - Deakin Prime ~ 2006 - Diploma Of Financial Planning/Certified Financial Planning - - Deakin University ~ 2012 - ADA 1 - - Deakin |
| Chad Victor Hohnen | 2012 | 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2015 - Bachelor of Accounting - - Central Queensland University ~ 2015 - Bachelor of Financial Planning - - Central Queensland University ~ 2015 - Self Managed Superannuation Funds - - Kaplan Professional |
| Charles Robert Thomasson | 2007 | 1999 - Bachelor Commerce/Business Management - - University of Queensland ~ 2003 - Graduate Diploma - - Institute of Chartered Accountants in Australia (ICAA) ~ 2007 - Statement of Attainment: Securities - - FINSIA ~ 2007 - Statement of Attainment: Super - - FINSIA ~ 2010 - Margin Lending Accreditation Program - - SDIA |
| Charles Sayers | 2016 | 2015 - Foundations of Financial Planning Part A - - Kaplan ~ 2016 - Securities and Managed Funds - - Kaplan |
| Christopher Malcolm Dale | 1997 | 1987 - Bachelor of Arts - - Monash University ~ 1991 - Bachelor of Economics - - Monash University ~ 1997 - Diploma of Financial Planning - - Deakin ~ 1998 - Certified Financial Planner - - FPA ~ 2010 - Margin Lending Accreditation Program - - Kaplan |
| Christopher Paul Hutton | 2005 | 2005 - RG146 Qualifications - Super - - RMIT University ~ 2005 - SDIA Accreditation Program - - SDIA ~ 2007 - Masters of Applied Finance - - QLD University of Technology ~ 2010 - Margin Lending Accrediation Program - - SDIA ~ 2011 - Professional Diploma in Stockbroking - - SDIA |
| Christopher Taylor | 2008 | 2005 - Bachelor of Commerce - - Deakin University ~ 2008 - SDIA Accreditation Program - - SDIA ~ 2011 - Graduate Diploma of Applied Finance - - Kaplan ~ 2011 - Professional Diploma in Stockbroking - - SDIA |
| Daniel Anthony Pitt | 2000 | 1998 - Bachelor of Economics - - Macquarie University ~ 2001 - Grad Dip Finance and Investment - - FINSIA ~ 2002 - RG146 - - Deakin Prime ~ 2012 - ADA 1 - - Deakin Prime |
| Danielle Strauss | 2023 | 2018 - Graduate Certificate in Applied Finance - Graduate Certificate (AQF 8) - Kaplan ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2024 - Aged Care Professional - Professional Designations - Aged Care Steps ~ 2024 - Certified Financial Planner (CFP) - Professional Designations - Financial Advice Association of Australia |
| David Mccrory | 2011 | 2011 - Margin Lending Accreditation Program - - SDIA ~ 2011 - Professional Diploma in Stockbroking - - SDIA |
| David Russell | 2010 | 2004 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Queensland ~ 2010 - Margin Lending - Certificate (AQF 1-4) - SDIA ~ 2010 - Professional Diploma in Stockbroking - - SDIA ~ 2010 - RG146 Superannuation Certificate - - RMIT University |
| David Thompson | 2010 | 2008 - Bachelor of Commerce - - University of Queensland ~ 2009 - Investment Planning - - KAPLAN ~ 2010 - Margin Lending Accreditation Program - - SDIA ~ 2010 - RG146 Qualifications - Superannuation and Retirement Planning - - KAPLAN |
| Donna Lee Mcwilliam | 2002 | 2003 - Bachelor of Business (Banking & Finance) - - Monash University ~ 2006 - Graduate Diploma of Financial Planning - - FINSIA ~ 2017 - Certified Financial Planner - - FPA |
| Emmanuel Solinap | 2004 | 2005 - Diploma of Financial Services - - SIA ~ 2010 - Margin Lending Accreditation Program - - SDIA |
| Gagandeep Singh Johal | 2018 | 2016 - Bachelor of Business (Finance) - - QUT ~ 2018 - Diploma of Financial Planning - - Kaplan Education Pty Ltd ~ 2018 - RG146 Superannuation - Certificate (AQF 1-4) - Association of Superannuation Funds of Australia ~ 2019 - Graduate Certificate in Business (Applied Finance) - Graduate Certificate (AQF 8) - Queensland University of Technology ~ 2022 - Master of Business (Applied Finance) - Masters Degree (AQF 9) - Queensland University of Technology |
| Graham John Craig | 1998 | 2002 - SDIA Accreditation Program - - SDIA ~ 2010 - Margin Lending Accreditation Program - - SDIA |
| Hilary Elizabeth Troy | 2011 | 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2014 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan |
| Hugh Gengoult-smith | 2000 | 1998 - Bachelor of Finance and Economics - - Latrobe University ~ 2001 - Graduate Diploma of Applied Finance and Investment - - FINSIA ~ 2010 - Margin Lending Accreditation Program - - SDIA ~ 2012 - Listed Investment companies - - Kaplan ~ 2014 - Evaluating asset allocation approaches - - Kaplan |
| Ian Hamish Campbell | 1997 | 2002 - Graduate Diploma in applied Finance & Investment - - Securities Institute ~ 2011 - Margin Lending and Geared Investments - Graduate Certificate (AQF 8) - Kaplan ~ 2018 - Tier 1 Superannuation - Personal Advice - Graduate Certificate (AQF 8) - Kaplan |
| Jacob Ryan-mccormack | 2023 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jake Beazley | 2015 | 2015 - 910 Generic Knowledge - - Kaplan ~ 2015 - 928- Margin Lending - - Kaplan ~ 2015 - Securities and Mnaged Investments - - Kaplan |
| James Hutchinson Grady | 0 | 2022 - Bachelor of Commerce (Finance Major) / LLB (Honours) - Bachelor Degree (AQF 7) - University of Queensland ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| James Thomas Byrne | 2017 | 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - AMP Financial Planning Pty Ltd ~ 2007 - Superannuation Accreditation - - Kaplan ~ 2014 - Master of Business Administration - Masters Degree (AQF 9) - Victoria University ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2021 - Core 1 - Securities and Managed Investments - Other - Stockbrokers and Financial Advisers Association of Australia |
| Lachlan Mclean | 2003 | 2004 - Bachelor Business (Banking & Finance) - - QLD University of Technology ~ 2008 - Bachelor of Applied Science (Property Economics) - - QLD University of Technology ~ 2010 - Graduate Diploma Applied Finance and Investment - - Finsia ~ 2011 - Professional Diploma in Stockbroking - - SDIA |
| Luke David Mcculkin | 2009 | 2010 - Diploma of Financial Services (Financial Planning) - - Mentor ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2014 - Cavendish & ICFS Specialist SMSF Course - - The University of Adelaide |
| Matthew Clayworth | 1999 | 1994 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Queensland ~ 2004 - Graduate Diploma in Applied Finance and Investment - - SDIA ~ 2010 - Margin Lending Accreditation Program - - SDIA |
| Matthew Crick | 2018 | 2003 - Bachelor of Business (Management) - - University of Queensland ~ 2016 - Graduate Certificate in Commerce - Graduate Certificate (AQF 8) - The University of Queensland ~ 2017 - DPP5v3 Tax for Financial Advising - - Kaplan ~ 2017 - Diploma of Financial Planning - - Monarch Institute |
| Matthew David Rose | 2015 | 2010 - Bachelor of Business Administration in Sports Management - - Macquarie University ~ 2015 - Diploma of Financial Planning - - Pinnacle ~ 2016 - Masters of Applied Finance - - Charles Sturt University |
| Matthew Joseph Sharratt | 2007 | 2007 - Futures Module - - AFMA ~ 2007 - The SDIA Accreditation Program - - Deakin University ~ 2010 - Financial Markets Core Module - - AFMA ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional |
| Matthew Martin | 2010 | 1999 - Bachelor of Commerce - - University of Queensland ~ 2007 - Chartered Accountant (CA) CA Program Graduate Diploma - - Institute of Chartered Accountants of Australia (ICAA) ~ 2007 - Chartered Accountant (CA) CA Program – Graduate Diploma - - Institute of Chartered Accountants of Australia (ICAA) ~ 2010 - Margin Lending Accreditation Program - - SDIA ~ 2010 - Professional Diploma in Stockbroking - - SDIA ~ 2011 - Graduate Diploma of Applied Finance & Investment - - Kaplan |
| Maximilian Rees | 2018 | 2014 - Bachelor of Finance - - The Australian National University |
| Michael James Cooney | 2017 | 2016 - Graduate Certificate in Financial Planning - - Griffith University ~ 2019 - Master of Financial Planning - - Griffith University |
| Nash David Catchlove | 2012 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - Bachelor of Business (Financial Planning) - - Royal Melbourne Institute of Technology (RMIT) ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan |
| Natasha Louise Burns | 2018 | 2014 - Bachelor of Business Management - - The University of Queensland ~ 2014 - Bachelor of Commerce - - The University of Queensland ~ 2015 - Diploma of Financial Planning - - Kaplan Professional |
| Nathan Spencer | 2005 | 1991 - Bachelor of Business (Management) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2008 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA |
| Nicholas Cooper | 0 | 2023 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Nicholas Jones | 2011 | 2010 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2011 - Diploma of Financial Services - - KAPLAN ~ 2012 - Advanced Diploma of Financial Services - - KAPLAN ~ 2014 - Certified Financial Planner - - Financial Planning Association of Australia |
| Nigel Adams | 1992 | 1990 - Diploma Course of the Securities Institute of Australia - Diploma (AQF 5) - The Securities Institute of Australia ~ 1999 - Postgraduate Certificate in Applied Finance - Other - Macquarie University ~ 2010 - Margin Lending Accreditation Program - Certificate (AQF 1-4) - Stockbrokers Association of Australia |
| Patrick Gibney | 0 | 2020 - Bachelor of Commerce / Economics - Bachelor Degree (AQF 7) - University of Queensland ~ 2023 - Masters of Financial Planning - Masters Degree (AQF 9) - Griffiths University |
| Patrick Henry Campbell Edgar | 1996 | 1995 - Bachelor of Social Science (Information Management) - - University of Melbourne ~ 2002 - Diploma of Financial Advising - - SDIA ~ 2010 - Margin Lending Accreditation Program - - SDIA |
| Patrick James Reeves | 2010 | 2006 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 2010 - Graduate Diploma of Chartered Accounting - Graduate Certificate (AQF 8) - Institute of Chartered Accountants Australia ~ 2011 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Australia |
| Paul Aliprandi | 2018 | 1994 - Professional Year - - Chartered Accountants Australia and New Zealand ~ 2003 - Master of Taxation - - Sydney University ~ 2008 - RG146 - - Pinnacle Financial Services Academy ~ 2012 - Financial Planning Certification - - Financial Planning Association ~ 2017 - Pinnacle SMSF Personal Advice Solution - - Pinnacle Financial Services Academy |
| Paul Cameron Bryant | 2005 | 1993 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Queensland ~ 2005 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Securities Institute |
| Peter Haskins | 2018 | 2001 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2002 - ASIC PS146 Compliance - Diploma (AQF 5) - Securities and Derivatives Industry Association ~ 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2010 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan ~ 2014 - Margin Lending and Geared Investments Certification - Diploma (AQF 5) - Kaplan |
| Peter James Moran | 1999 | 1995 - Bachelor of Economics - - La Trobe University ~ 2002 - Graduate Diploma Applied Finance and Investment - - FINSIA ~ 2005 - ADA Level 2 - Certificate (AQF 1-4) - Tribeca |
| Peter Jones | 1996 | 1989 - Bachelor of Commerce (Marketing and Business Management) - - Lincoln University ~ 1990 - Post Graduate Diploma - Rural Valuation and Farm Management - - Lincoln Univerity ~ 2008 - Advanced Diploma in Financial Planning - - Kaplan ~ 2009 - Accredited Derivatives Adviser (Level I) - - Kaplan ~ 2010 - Accredited Derivatives Adviser (Level II) - - Kaplan |
| Richard James Andrew Cooper | 1998 | 1995 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Queensland ~ 2010 - Margin Lending Accreditation Program - Certificate (AQF 1-4) - Stockbrokers and Financial Advisers Association Limited |
| Robert Shears | 2010 | 2007 - Bachelor of Business - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2008 - Graduate Certificate in Applied Finance and Investments - - FINSIA ~ 2010 - Margin Lending Accreditation Program - - SDIA ~ 2011 - Professional Diploma in Stockbroking - - SDIA ~ 2011 - Superannuation Accreditation Program - - SDIA |
| Saxon Mew | 2010 | 2007 - Bachelor of Commerce - - University of Queensland ~ 2007 - Bachelor of Economics - - University of Queensland ~ 2010 - Superannuation - - RMIT University ~ 2011 - Master of Applied Finance - - KAPLAN ~ 2017 - Master of Economics - Masters Degree (AQF 9) - The University of Queensland |
| Scott Alistair Relf | 2015 | 2000 - Bachelor of Commerce (Finance & Marketing) - - Curtin University of Technology ~ 2009 - Graduate Diploma of Applied Finance - - Kaplan Professional ~ 2015 - Diploma of Financial Planning - - Kaplan Professional |
| Scott Sanders | 2011 | 2009 - Bachelor of Business - - La Trobe University ~ 2010 - Graduate Certificate of Business - - Monash University ~ 2011 - Diploma of Financial Services (Financial Planning) - - Investment Banking Institute ~ 2011 - Margin Lending and Gearing Investments - - Kaplan ~ 2016 - Masters of Business Administration - - Melbourne Business School |
| Sean Lyons | 2012 | 2009 - SDIA Accreditation Program Assessment - Other - Securities & Derivatives Industry Association ~ 2010 - Margin Lending & Geared Investments - Other - Kaplan Professional Education ~ 2013 - Accredited Derivatives Adviser Level 1 Exam - Other - Kaplan Professional Education ~ 2014 - Bachelor of Business & Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2021 - FASEA Financial Adviser Exam - Professional Designations - ASIC |
| Shane Anthony Coster | 2010 | 2002 - Diploma in Financial Markets - - SDIA ~ 2009 - ADA Level 2 - Certificate (AQF 1-4) - Kaplan ~ 2011 - Professional Diploma in Stockbroking - - SDIA |
| Simon James Lynch | 2014 | 1990 - Bachelor of Business - - Royal Melbourne Institute of Technology ~ 1998 - Master of Applied Finance - - Macquarie University ~ 2014 - Margin Lending - - Stockbrokers Association of Australia ~ 2014 - Securities and Managed Investments - - Stockbrokers Association of Australia ~ 2015 - Superannuation Accreditation - - Stockbrokers Association of Australia |
| Stephen James Bone | 2004 | 2004 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association ~ 2017 - SMSF Specialist Adviser - Professional Designations - SMSF Association |
| Sylvia Timso | 2016 | 2009 - Master of Applied Finance - - Macquarie University ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan |
| Todd Alexander Payne | 1998 | 1995 - Bachelor of Science - - Uni of NSW ~ 2000 - Graduate Diploma in Applied Finance and Investment - - Securities Institute of Australia ~ 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Todd Luke Cole | 2010 | 2010 - Bachelor of Commerce (Financial Planning)/Bachelor of International Business - - Griffith University ~ 2011 - Gearing & Margin Lending Certification - - Kaplan ~ 2012 - SMSF Certification - - Kaplan ~ 2013 - Accredited Derivatives Adviser Level 1 - - Kaplan ~ 2017 - Certified Financial Planner - - Financial Planner Association of Australia (FPA) |
| Warwick Foot | 2003 | 1996 - bachelor of economics - - University of Queensland ~ 1998 - Bachelor of Commerce - - University of Queensland ~ 2003 - PS146 - - Deakin ~ 2008 - ADA Level 1 - - ASX ~ 2011 - Margin Lending and Geared Investment - - Kaplan |