Euroz Hartleys Limited

AFS License Number
230052
Name
Euroz Hartleys Limited
ABN/ACN/ARBN
33104195057
Licensee issued
Oct. 20, 2003
Address
Perth, 6000, WA

Licence conditions

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;
derivatives;
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;
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:
derivatives;
interests in managed investment schemes limited to:
MDA services; and
securities;
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;
derivatives;
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;
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
underwriting:
interests in managed investment schemes; and
an issue of securities; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.

Location

Advisers

Name First provided advice Qualification and trainings
 Adrian James Brant 1995 Accredited Derivatives Adviser Level 1 - ASIC ~ Bachelor of Business - Finance and Economics - Edith Cowan University ~ FASEA exam - FASEA
 Andrew Christopher Fry 1997 Accredited Derivatives Adviser Level 2 - ASX ~ Bachelor of Commerce - Murdoch University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Grad Dip in Applied Finance and Investment - SIA
 Andrew John Gribble 2000 Bachelor of Business - Edith Cowan University ~ Chartered Accountant - Institute of Chartered Accountants ~ FASEA exam - FASEA ~ FPC002B - Kaplan ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia
 Andrew Stewart Macnaughtan 1987 Bachelor of Business - Finance Major - Edith Cowan University ~ FASEA Exam - FASEA ~ Graduate Diploma of Asian Business - Edith Cowan University
 Ben Statham 2004 FASEA Exam - FASEA ~ RG146 - Finsia
 Benjamin James Fleay 2004 Accredited Derivatives Adviser Level 2 - ASIC ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FASEA Exam - FASEA ~ Graduate Diploma of Applied Finance and Investment - FINSIA ~ Master of Business Administration - Curtin University
 Bradley Kenneth Booth 1996 Accredited Derivatives Adviser Level 1 and 2 - ASIC ~ Bachelor of Economics - University of Western Australia ~ FASEA exam - FASEA ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia
 Bradley William Gordon 1987 Diploma of Financial Planning - FPA ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ SMSF Specialist Advisor - SMSF Professionals' Association of Australia
 Brian Bates 1998 Accredited Derivatives Adviser level 1 (ADA1) - Kaplan Professional ~ Bachelor of Commerce - University of Western Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Investment Planning 1 - Integratec Training Pty Ltd ~ Retirement Planning & Principles course - Integratec Training Pty Ltd
 Bronwyn Louise Reynolds 1999 Adviser Exam - FASEA ~ Diploma of Financial Planning - KAPLAN ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Certificate in Financial Planning - FINSIA
 Christopher Michael Munro 2000 -Accredited Derivatives Adviser Level 1 and 2 - ASIC ~ Bachelor of Commerce - Finance Major - University of Western Australia ~ FASEA exam - FASEA
 David Andrew Smyth 2000 Accredited Derivatives Adviser Level 2 - ASIC ~ Bachelor of Business - Curtin University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ FASEA exam - FASEA ~ Graduate Diploma in Financial Planning - Securitites Institute of Australia
 David Kenneth Wallace Michael 1994 Bachelor of Business - Western Australian Institute of Technology ~ Financial Adviser Exam - ASIC ~ Graduate Diploma of Applied Finance and Investment - Securities Insititute of Australia
 David Michael Cross 1997 Accredited Derivatives Adviser Level 1 - ASIC ~ Bachelor of Science - Human Movement - University of Western Australia ~ FASEA exam - FASEA ~ PS 146 - Securities Instititute of Australia
 Dawn Phillipper Partridge 2018 Bachelor of Business - Major in Finance - Edith Cowan University ~ Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan Professional ~ Tax for Financial Advising - Kaplan Professional
 Dirk Joel Van Der Struyf 1995 Bachelor of Business - Edith Cowan University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ FASEA exam - FASEA ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia
 Duncan Graham Mackintosh 1998 Bachelor of Commerce - UWA ~ Chartered Financial Analyst - Chartered Financial Analyst Institute ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Applied Finance and Investment - FINSIA
 Gavin Bradley Lehmann 1988 Diploma of Financial Advising - Securities Institute of Australia ~ FASEA exam - FASEA ~ FPC002B - Kaplan
 Giles Mccaw 2004 ASIC PS146 Generic & Specialist covering Securities, Futures and Managed Investments - Deakin University ~ FASEA Exam - FASEA ~ FPC003 Superannuation and Retirement Advice - Kaplan
 Giuliano Vinci 2017 Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - UWA ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ RG146 - Securities and Derivatives Indistry Association
 Heath John Durrant Ryan 2018 Bachelor of Commerce - Finance and Professional Accounting - Murdoch University ~ Certified Accountant - CPA Australia ~ FASEA Exam - FASEA
 Ian Andrew Harrison 1997 Bachelor of Economics - University of Western Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Financial Planning - Securities Institute
 Ian Michael Paterson Parker 1983 Accredited Derivatives Adviser Level 1 - ASIC ~ Bachelor of Arts - Economics - Murdoch University ~ Financial Adviser Exam - FASEA
 Jack Alexander Prendiville 2018 Bachelor of Commerce - University of Western Australia ~ FASEA exam - FASEA
 James Henry Moullin 2002 -Accredited Derivatives Adviser Level 1 and 2 - ASIC ~ Associate Diploma of Business Management - TAFE ~ Bachelor of Commerce - Curtin University ~ FASEA exam - FASEA ~ Graduate Diploma of Applied Finance and Investment - Securities Insititute of Australia
 James John Gatti 2011 Accredited Derivatives Adviser Level 1 and 2 - ASIC ~ Bachelor of Commerce - Economics and Marketing - Curtin University ~ FASEA exam - FASEA
 James Mackie 2001 ASX Accredited Derivatives Adviser - Tribeca ~ Diploma of Financial Markets - Securities Institute of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Financial Adviser Exam - FASEA ~ Graduate Diploma in Applied Finance & Investment - Securities Institute of Australia
 James Philip Maxwell Mcclements 2018 Bachelor of Commerce - University of Western Australia ~ Designated Trade Representative - SAFAA ~ FASEA Exam - FASEA
 Jayme Huston Walsh 2012 Bachelor of Commerce - University of Western Australia ~ Financial Adviser Exam - FASEA
 John Richard Goodlad 1998 Bachelor of Arts - University of Melbourne ~ Bachelor of Laws - University of Melbourne ~ FASEA exam - FASEA ~ Master of International Law - Australian National University
 Jye Bolton 2024 Bachelor of Commerce - Edith Cowan University ~ Graduate Diploma of Financial Planning - Kaplan
 Katrina Ryan 2018 Bachelor of Commerce - Curtin University ~ Diploma of Financial Planning - KAPLAN ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Commerce - Curtin University
 Laura Smillie 2018 Bachelor of Arts in Finance - University of Strathclyde ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional
 Laurence Grescos 2018 Bachelor of Commerce - Curtin University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ FPC003 Superannuation and Retirement Advice - Kaplan ~ Financial Adviser Exam - FASEA
 Lucas Jordan Ntoumenopoulos 2018 Bachelor of Science - University of Western Australia ~ Diploma of Financial Planning - Kaplan ~ FASEA exam - FASEA
 Matthew Anthony Reece 2014 Bachelor of Commerce - Curtin University ~ FPC001B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Masters of Accounting - Curtin University ~ Self Managed Superannuation Funds - Kaplan
 Matthew James Parker 2014 Bachelor of Laws - Murdoch University ~ FASEA Exam - FASEA
 Michael Andrew Munro 2000 Bachelor of Commerce - University of Western Australia ~ Chartered Accountant - Institute of Chartered Accountants Australia ~ FASEA exam - FASEA ~ FPC002B - Kaplan ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia
 Michael Bartley 2010 Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan
 Michael Boyatzis 0 Bachelor of Commerce (Economics and Finance) - University of Western Australia ~ Graduate Diploma of Financial Planning - Kaplan
 Michael Steven Vrankovich 2011 Bachelor of Commerce - Curtin University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Relevant Provider Exam - FASEA
 Murray John Jacob 2001 Diploma of Financial Markets - Securities Institute of Australia ~ FASEA exam - FASEA
 Nathan James Bray 1998 Accredited Derivatives Adviser Level 1 and 2 - ASIC ~ Bachelor of Economics - University of Western Australia ~ FASEA exam - FASEA ~ Graduate Diploma of Finance - Securities Institute of Australia
 Nicholas Simon Draper 1996 Bachelor of Economics - University of Western Australia ~ FASEA Exam - FASEA ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia
 Paul Berson 2001 FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ PS146 Investment Planning - Integratec Training Pty Ltd ~ Relevant Provider Exam - FASEA
 Paul Cooper 2010 National DTR Accreditation Program (Cash Equities) - Stockbrokers and Financial Advisers Assocation Ltd ~ RG146 Tier 1 Generic & Securities - Kaplan Professional Education ~ Relevant Provider Exam - FASEA
 Phillip James George 2004 Bachelor of Science - UWA ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Applied Finance and Investment - SIA
 Richard Gardner 2011 Bachelor of Commerce - University of Notre Dame ~ FASEA Exam - FASEA ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ RG146 Securities & Managed Investments - Deakin Prime Corporate Education
 Robert Hanrahan Smith 2018 Commerce (Business Law/Marketing) - University of Western Australia ~ DTR - Stockbrokers and Financial Advisers Association ~ Financial Adviser Exam - ASIC
 Rowan Jones 2004 Bachelor of Commerce - Curtin University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Graduate Diploma of Applied Finance - FINSIA
 Russell Kane 1995 Bachelor of Business - Curtin University ~ Diploma of Financial Markets - Securities Institute of Australia ~ FASEA Exam - FASEA
 Ryan Stewart 2007 ASX Accredited Derivative Adviser - Tribeca ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Relevant Provider Exam - FASEA
 Sandra Mirco 2000 Advanced Diploma of Financial Planning - Deakin ~ FASEA exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan Professional
 Scott Ian Metcalf 1995 FASEA exam - FASEA ~ Graduate Diploma of Financial Markets - FINSIA
 Shane Paul Lehmann 1993 Accredited Derivatives Adviser Level 1 and 2 - ASIC ~ Bachelor of Commerce - Curtin University ~ FASEA exam - FASEA ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia
 Simon Yeo 2002 Bachelor of Commerce - University of Western Australia ~ Diploma of Financial Advising - Securities Institute of Australia ~ FASEA exam - FASEA ~ PS146 Generic & Securities - Securities Institute of Australia
 Sonya Renee Soudure 2001 Accredited Derivatives Adviser Level 2 - ASIC ~ Bachelor of Psychology - University of Western Australia ~ FASEA exam - FASEA ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia ~ Master of Management - Human Resources Management - University of Western Australia
 Steven Victor Loxley 2003 FASEA exam - FASEA ~ PS 146 - The Securities & Derivatives Industry Association (SDIA)
 Sven Christopher Burrell 2002 Accredited Derivatives Adviser Level 1 - ASIC ~ Diploma of Financial Advising - Securities Institute of Australia ~ FASEA exam - FASEA
 Thomas William Shackles 2018 ADA Levels 1 & 2 - SAFAA ~ Bachelor Of Commerce - University of Western Australia ~ FASEA exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan ~ Taxation unit - Chartered Accountants
 Timothy Bunney 2012 Financial Adviser Exam - FASEA ~ RG146 Securities & Managed Investments - Deakin Prime Corporate Education
 Timothy Douglas Cottee 2009 Accredited Derivatives Adviser Level 1 - ASIC ~ Bachelor of Commerce - University of Western Australia ~ Financial Adviser Exam - FASEA ~ Graduate Certificate of Applied Finance and Investment - Kaplan
 Timothy Lyons 2014 Bachelor of Commerce - University of Western Australia ~ Diploma of Financial Markets - Securities Institute of Australia ~ FASEA Exam - FASEA
 Tyler Sebastian Hurley 2017 Bachelor of Business (Financial Planning) - RMIT University ~ Certificate IV in Finance and Mortgage Broking - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Financial Adviser Exam - FASEA ~ SuperConcepts & ICFS Specialist SMSF Course - The University of Adelaide
 XI Ryan LI 2018 Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Commerce (Accounting) - Curtin University of Technology ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Financial Adviser Exam - FASEA ~ Master of Science (Actuarial and Financial Science) - Curtin University of Technology