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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Declan Thomas | 2017 | 2016 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Western Australia ~ 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Advance Diploma Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2018 - Tier 1 Margin lending - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Ltd |
| Stephen Mark Padbury | 1999 | 2000 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Trent Walter Savage | 2004 | 2004 - Bachelor of Commerce (Financial Planning) - - Curtin University of Technology ~ 2007 - Diploma of Financial Services - - Kaplan Professional Education ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2010 - Certified Financial Planner - - Financial Planning Association ~ 2018 - Master of Business Administration - - Curtin University |