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;
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; 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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Brent Fairhead | 1998 | 2001 - Bachelor of Commence - Bachelor Degree (AQF 7) - Murdoch University ~ 2004 - Certified Financial Planner - Graduate Diploma (AQF 8) - Financial Planning Association ~ 2004 - Graduate Diploma of Financial Planning - Advanced Diploma (AQF 6) - Securities Institute ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan ~ 2012 - SMSF Specialist Adviser - Graduate Certificate (AQF 8) - SMSF Association |
| Hean-sing Koay | 2006 | 2000 - Bachelor of Commerce (Finance & Marketing) - Bachelor Degree (AQF 7) - Curtin University ~ 2003 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2011 - Certified Financial Planner - Graduate Diploma (AQF 8) - Financial Planning Association |
| Jake Simon Warwick | 0 | 2022 - Graduate Diploma of Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional |
| Luke Vincent | 2018 | 2017 - Diploma of Financial Planning - - Kaplan ~ 2019 - Bachelor of Commerce (Finance and Management) - Bachelor Degree (AQF 7) - Curtin University ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Mark Andrew Vincent | 2001 | 2002 - Diploma Financial Advising - - Securities Institute ~ 2008 - SMSF Specialist Advisor - - Self Managed Super Fund Association ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2014 - Advanced Diploma Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |