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 | Bachelor of Commerce - University of Western Australia ~ Master of Financial Planning - Kaplan |
| Callum Alexander Mcpherson | 2022 | Bachelor of Commerce - University of Western Australia ~ Graduate Diploma of Financial Planning - Kaplan |
| Damon Paul Sugden | 2012 | Advanced Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Kaplan ~ Master of Financial Planning - Kaplan ~ Self-Managed Super Funds - Kaplan |
| David Lloyd Andrew | 1999 | Accredited Investment Fiduciary - Centre of Fiduciary Excellence ~ Bachelor of Physical Education - University of Western Australia ~ Grad Diploma Applied Finance & Inv - Securities Institute of Australia ~ Grad Diploma Financial Planning - Securities Institute of Australia ~ Self-Managed Super Funds - Kaplan |
| David Mark Rossbach | 2013 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce and Economics - University of Western Australia ~ Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan |
| Emma Zwaan | 2018 | Bachelor of Accounting - University of South Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Monarch University ~ Master of Financial Planning - Kaplan |
| James Heath Mcleod | 2006 | Accredited Investment Fiduciary - Centre for Fiduciary Excellence ~ Advanced Diploma of Financial Services - Kaplan ~ Bachelor of Commerce and Bachelor of Science - University of Western Australia ~ Certified Financial Planner - Financial Planning Association ~ Graduate Diploma in Applied Tax Law - The Tax Institute |
| John Leslie Ryan | 2014 | Bachelor of Economics - University of Western Australia ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Chartered Accounting - Institute of Chartered Accountants ~ Margin Lending & Geared Investments - Kaplan ~ Self-Managed Super Funds - Kaplan |
| Kathryn Creasy | 2014 | Bachelor of Commerce - University of Western Australia ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Applied Finance - Kaplan ~ Self-Managed Super Funds - Kaplan |
| Michael John Matthews | 1995 | Bachelor of Commerce - University of Western Australia ~ Certified Financial Planner - Financial Planning Association ~ Chartered Accountant - Chartered Accountants Australia & New Zealand ~ Diploma Financial Plannin - Financial Planning Association ~ Grad Diploma Applied Finance & Inv - Kaplan |
| Michael Oliver Hayward | 2008 | Advanced Diploma of Financial Services - Kaplan ~ Bachelor of Economics - University of Western Australia ~ Certified Finanical Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Self-Managed Super Funds - Kaplan |
| Milena Konig | 2017 | Bachelor of Commerce and Engineering - University of Western Australia ~ Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan |
| Rakesh Shah | 2004 | Bachelor of Commerce - Curtin University ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Accounting - Curtin University ~ Self-Managed Super Funds - Kaplan |
| Robert Alan Mccaw | 2018 | Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending - Kaplan ~ Master of Financial Planning - Kaplan ~ Self-Managed Super Funds - Kaplan |
| Sophorn Hak | 2014 | Bachelor of Commerce - University of Western Australia ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending - Kaplan ~ Self-Managed Super Funds - Kaplan |
| Steven Gregory Boyce | 2007 | Accredited Investment Fiduciary - Centre of Fiduciary Excellence ~ Bachelor of Commerce - University of Western Australia ~ Certified Financial Planner - Financial Planning Association ~ Graduate Diploma of Applied Finance - Kaplan |
| Tyler James Ellery | 2022 | Bachelor of Commerce Accounting and Financial Planning - Curtin University ~ Ethics and Professionalism - Kaplan |