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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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;
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;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products; and
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:
interests in managed investment schemes limited to:
MDA services; and
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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;
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;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aden Wilkins | 2022 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Andrew Leonard White | 1999 | 1991 - Bachelor of Business - - Deakin University ~ 1994 - CPA - Other - CPA Australia ~ 2002 - Certified Financial Planner - - FPA ~ 2018 - Diploma of Financial Planning - - International Institute of Technology ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Callum Alexander Mcpherson | 2022 | 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Damon Paul Sugden | 2012 | 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2018 - Margin Lending - Other - Kaplan ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2018 - Self-Managed Super Funds - Other - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Darren Russell Nash | 2012 | 1995 - Bachelor of Commerce (Marketing) - - Curtin University ~ 2001 - Graduate Diploma of Financial Planning - - Securities Institute (Kaplan Professional) ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan ~ 2018 - Diploma of Financial Planning - - International Institute of Technology (IIT) |
| David Lloyd Andrew | 1999 | 1985 - Bachelor of Physical Education - Bachelor Degree (AQF 7) - University of Western Australia ~ 1998 - Grad Diploma Applied Finance & Inv - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2002 - Grad Diploma Financial Planning - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2016 - Accredited Investment Fiduciary - Other - Centre of Fiduciary Excellence ~ 2018 - Self-Managed Super Funds - Other - Kaplan |
| David Mark Rossbach | 2013 | 2011 - Bachelor of Commerce and Economics - Bachelor Degree (AQF 7) - University of Western Australia ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Emma Zwaan | 2018 | 2015 - Bachelor of Accounting - Bachelor Degree (AQF 7) - University of South Australia ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Monarch University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| James Heath Mcleod | 2006 | 2005 - Bachelor of Commerce and Bachelor of Science - Bachelor Degree (AQF 7) - University of Western Australia ~ 2007 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Kaplan ~ 2009 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2016 - Accredited Investment Fiduciary - Professional Designations - Centre for Fiduciary Excellence ~ 2017 - Graduate Diploma in Applied Tax Law - Graduate Diploma (AQF 8) - The Tax Institute |
| John Leslie Ryan | 2014 | 2010 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Western Australia ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2015 - Graduate Diploma of Chartered Accounting - Graduate Diploma (AQF 8) - Institute of Chartered Accountants ~ 2018 - Margin Lending & Geared Investments - Other - Kaplan ~ 2018 - Self-Managed Super Funds - Other - Kaplan |
| Kathryn Creasy | 2014 | 2002 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2008 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2009 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan ~ 2017 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2018 - Self-Managed Super Funds - Other - Kaplan |
| Michael John Matthews | 1995 | 1988 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 1991 - Chartered Accountant - Graduate Diploma (AQF 8) - Chartered Accountants Australia & New Zealand ~ 1995 - Grad Diploma Applied Finance & Inv - Graduate Diploma (AQF 8) - Kaplan ~ 1996 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2003 - Diploma Financial Plannin - Diploma (AQF 5) - Financial Planning Association |
| Michael Oliver Hayward | 2008 | 2002 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Western Australia ~ 2012 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Kaplan ~ 2012 - Certified Finanical Planner - Professional Designations - Financial Planning Association ~ 2018 - Self-Managed Super Funds - Other - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Milena Konig | 2017 | 2014 - Bachelor of Commerce and Engineering - Bachelor Degree (AQF 7) - University of Western Australia ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Nick Campbell Menegola | 0 | 2018 - Commerce majoring in Economics/Finance - Bachelor Degree (AQF 7) - University of Western Australia ~ 2023 - Financial Adviser Exam - Other - ASIC ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Olga Malysheva | 0 | 2014 - Master of Business - Masters Degree (AQF 9) - Australian National University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Rakesh Shah | 2004 | 2001 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University ~ 2002 - Master of Accounting - Masters Degree (AQF 9) - Curtin University ~ 2006 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2018 - Self-Managed Super Funds - Other - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Robert Alan Mccaw | 2018 | 2018 - Margin Lending - Other - Kaplan ~ 2018 - Self-Managed Super Funds - Other - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Shaun Mulder | 2024 | 2019 - Bachelor of Commerce (Finance) - Bachelor Honours Degree (AQF 8) - Curtin University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Certificate (AQF 8) - Kaplan |
| Sophorn Hak | 2014 | 2005 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2013 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2018 - Margin Lending - Other - Kaplan ~ 2018 - Self-Managed Super Funds - Other - Kaplan |
| Steven Gregory Boyce | 2007 | 2007 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2011 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan ~ 2016 - Accredited Investment Fiduciary - Other - Centre of Fiduciary Excellence ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |