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 | 0 | Bachelor of Commerce Accounting and Finance - Curtin University ~ Graduate Diploma of Financial Planning - Finsia ~ Master of Financial Planning - Kaplan |
| Kiah Joy Bradford | 2017 | Bachelor of Art (Japanese) - Curtin ~ Diploma of Financial Planning - Kaplan Professional |
| Nicholas James Hart | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Master of Financial Planning - Kaplan Professional Education |
| Raymond Vicko Pecotic | 1997 | Bachelor of Commerce - Curtin University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education |
| Sandra Carr | 2001 | ADFP - Deakin University ~ Bachelor Of Commerce - University of WA ~ Certified Practicing Accountant - Australian Society of CPA's ~ DFP - Deakin University |