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.
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 |