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;
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;
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 |
|---|---|---|
| Glyn Lawrence Roger Cooper | 2024 | 2004 - Bachelor of Commerce Accounting and Finance - Bachelor Degree (AQF 7) - Curtin University ~ 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Finsia ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Kiah Joy Bradford | 2017 | 2015 - Bachelor of Art (Japanese) - Bachelor Degree (AQF 7) - Curtin ~ 2017 - Diploma of Financial Planning - - Kaplan Professional |
| Nicholas James Hart | 2008 | 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2016 - Master of Financial Planning - - Kaplan Professional Education |
| Raymond Vicko Pecotic | 1997 | 1998 - Bachelor of Commerce - - Curtin University ~ 2003 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education |