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 | 1992 - Bachelor of Business - Finance and Economics - - Edith Cowan University ~ 1995 - Accredited Derivatives Adviser Level 1 - - ASIC |
| Andrew Christopher Fry | 1997 | 1993 - Bachelor of Commerce - - Murdoch University ~ 2002 - Grad Dip in Applied Finance and Investment - - SIA ~ 2004 - Accredited Derivatives Adviser Level 2 - - ASX ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Andrew John Gribble | 2000 | 1992 - Bachelor of Business - - Edith Cowan University ~ 1995 - Chartered Accountant - - Institute of Chartered Accountants ~ 2002 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Andrew Stewart Macnaughtan | 1987 | 1987 - Bachelor of Business - Finance Major - - Edith Cowan University ~ 1992 - Graduate Diploma of Asian Business - - Edith Cowan University |
| Ben Statham | 2004 | 1998 - Bachelor of Economics. International Business Economics Major - Bachelor Degree (AQF 7) - University of Western Australia ~ 2000 - RG146 - - Finsia ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Benjamin James Fleay | 2004 | 2006 - Accredited Derivatives Adviser Level 2 - - ASIC ~ 2007 - Graduate Diploma of Applied Finance and Investment - - FINSIA ~ 2011 - Master of Business Administration - - Curtin University ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Bradley Kenneth Booth | 1996 | 1990 - Bachelor of Economics - - University of Western Australia ~ 2001 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia ~ 2003 - Accredited Derivatives Adviser Level 1 and 2 - - ASIC |
| Bradley William Gordon | 1987 | 2005 - Diploma of Financial Planning - - FPA ~ 2014 - SMSF Specialist Advisor - Professional Designations - SMSF Professionals' Association of Australia ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - FPC003 Superannuation and Retirement Advice - Other - Kaplan |
| Brian Bates | 1998 | 1992 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2002 - Investment Planning 1 - - Integratec Training Pty Ltd ~ 2002 - Retirement Planning & Principles course - - Integratec Training Pty Ltd ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2024 - Accredited Derivatives Adviser Level 2 (ADA2) - Other - SIAA |
| Bronwyn Louise Reynolds | 1999 | 2007 - Graduate Certificate in Financial Planning - - FINSIA ~ 2015 - Diploma of Financial Planning - - KAPLAN |
| Christopher Michael Munro | 2000 | 1998 - Bachelor of Commerce - Finance Major - - University of Western Australia ~ 2002 - -Accredited Derivatives Adviser Level 1 and 2 - - ASIC |
| David Andrew Smyth | 2000 | 1990 - Bachelor of Business - - Curtin University ~ 2003 - Accredited Derivatives Adviser Level 2 - - ASIC ~ 2005 - Graduate Diploma in Financial Planning - - Securitites Institute of Australia ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| David Kenneth Wallace Michael | 1994 | 1982 - Bachelor of Business - - Western Australian Institute of Technology ~ 2000 - Graduate Diploma of Applied Finance and Investment - - Securities Insititute of Australia |
| David Michael Cross | 1997 | 1995 - Bachelor of Science - Human Movement - - University of Western Australia ~ 2002 - PS 146 - - Securities Instititute of Australia ~ 2003 - Accredited Derivatives Adviser Level 1 - - ASIC |
| Dawn Phillipper Partridge | 2018 | 2015 - Bachelor of Business - Major in Finance - - Edith Cowan University ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2018 - DFP5v3 Tax for Financial Advising - Other - Kaplan ~ 2020 - FPC001B Economic and Legal Context for Financial Planning - Other - Kaplan ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Dirk Joel Van Der Struyf | 1995 | 1993 - Bachelor of Business - - Edith Cowan University ~ 1999 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Duncan Graham Mackintosh | 1998 | 1999 - Bachelor of Commerce - - UWA ~ 2006 - Graduate Diploma of Applied Finance and Investment - - FINSIA ~ 2018 - Chartered Financial Analyst - - Chartered Financial Analyst Institute ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Gavin Bradley Lehmann | 1988 | 2001 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - FPC007B Client Engagement Skills - Other - Kaplan |
| Giles Mccaw | 2004 | 2002 - ASIC PS146 Generic & Specialist covering Securities, Futures and Managed Investments - - Deakin University ~ 2019 - FPC003 Superannuation and Retirement Advice - Other - Kaplan ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Giuliano Vinci | 2017 | 2005 - Bachelor of Commerce - Finance (Corporate), Finance (Investment), Finance (Quantative) - Bachelor Degree (AQF 7) - The University of Western Australia ~ 2007 - RG146 - - Securities and Derivatives Indistry Association ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Heath John Durrant Ryan | 2018 | 2008 - Bachelor of Commerce - Finance and Professional Accounting - Bachelor Degree (AQF 7) - Murdoch University ~ 2013 - CPA Program Professional Level - Professional Designations - CPA Australia ~ 2015 - Certified Accountant - - CPA Australia |
| Ian Andrew Harrison | 1997 | 1998 - Bachelor of Economics - - University of Western Australia ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Ian Michael Paterson Parker | 1983 | 1984 - Bachelor of Arts - Economics - - Murdoch University ~ 2005 - Accredited Derivatives Adviser Level 1 - - ASIC |
| Jack Alexander Prendiville | 2018 | 2017 - Bachelor of Commerce - - University of Western Australia |
| James Henry Moullin | 2002 | 1994 - Associate Diploma of Business Management - - TAFE ~ 1997 - Bachelor of Commerce - - Curtin University ~ 2002 - Graduate Diploma of Applied Finance and Investment - - Securities Insititute of Australia ~ 2005 - -Accredited Derivatives Adviser Level 1 and 2 - - ASIC ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| James John Gatti | 2011 | 2009 - Bachelor of Commerce - Economics and Marketing - - Curtin University ~ 2012 - Accredited Derivatives Adviser Level 1 and 2 - - ASIC |
| James Mackie | 2001 | 2001 - Graduate Diploma in Applied Finance & Investment - - Securities Institute of Australia ~ 2002 - Diploma of Financial Markets - - Securities Institute of Australia ~ 2007 - ASX Accredited Derivatives Adviser - - Tribeca ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| James Philip Maxwell Mcclements | 2018 | 2016 - Bachelor of Commerce - - University of Western Australia ~ 2018 - Designated Trade Representative - - SAFAA |
| Jayme Huston Walsh | 2012 | 2010 - Bachelor of Commerce - - University of Western Australia |
| John Richard Goodlad | 1998 | 1983 - Bachelor of Arts - - University of Melbourne ~ 1983 - Bachelor of Laws - - University of Melbourne ~ 2001 - Master of International Law - - Australian National University |
| Jye Bolton | 2024 | 2021 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2021 - FPC001B Economic and Legal Context for Financial Planning - Other - Kaplan ~ 2021 - FPC006 Tax and Commercial Law for Financial Planning - Other - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Katrina Ryan | 2018 | 2015 - Bachelor of Commerce - - Curtin University ~ 2018 - Diploma of Financial Planning - - KAPLAN ~ 2018 - Master of Commerce - - Curtin University ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Laura Smillie | 2018 | 2005 - Bachelor of Arts in Finance - Bachelor Degree (AQF 7) - University of Strathclyde ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Laurence Grescos | 2018 | 2018 - Bachelor of Commerce - - Curtin University ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Lucas Jordan Ntoumenopoulos | 2018 | 2015 - Bachelor of Science - - University of Western Australia ~ 2017 - Diploma of Financial Planning - - Kaplan |
| Matthew Anthony Reece | 2014 | 2008 - Bachelor of Commerce (Economics and Financial Planning) - Bachelor Degree (AQF 7) - Curtin University ~ 2013 - Masters of Accounting - - Curtin University ~ 2015 - Self Managed Superannuation Funds - - Kaplan ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Matthew James Parker | 2014 | 2009 - Bachelor of Laws - - Murdoch University |
| Michael Andrew Munro | 2000 | 1985 - Bachelor of Commerce - - University of Western Australia ~ 1988 - Chartered Accountant - - Institute of Chartered Accountants Australia ~ 2004 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Michael Bartley | 2010 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Michael Boyatzis | 0 | 2020 - Bachelor of Commerce (Economics and Finance) - Bachelor Degree (AQF 7) - University of Western Australia ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Michael Steven Vrankovich | 2011 | 2006 - Bachelor of Commerce - - Curtin University ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Nathan James Bray | 1998 | 1994 - Bachelor of Economics - - University of Western Australia ~ 2002 - Accredited Derivatives Adviser Level 1 and 2 - - ASIC ~ 2005 - Graduate Diploma of Finance - - Securities Institute of Australia |
| Nicholas Simon Draper | 1996 | 1989 - Bachelor of Economics - - University of Western Australia ~ 1995 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia |
| Paul Cooper | 2010 | 2005 - RG146 Tier 1 Generic & Securities - - Kaplan Professional Education ~ 2017 - National DTR Accreditation Program (Cash Equities) - - Stockbrokers and Financial Advisers Assocation Ltd ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Phillip James George | 2004 | 1994 - Bachelor of Science - - UWA ~ 2002 - Graduate Diploma of Applied Finance and Investment - - SIA ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Richard Gardner | 2011 | 2007 - Bachelor of Commerce - - University of Notre Dame ~ 2011 - RG146 Securities & Managed Investments - - Deakin Prime Corporate Education ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Rowan Jones | 2004 | 2003 - Bachelor of Commerce - - Curtin University ~ 2008 - Graduate Diploma of Applied Finance - - FINSIA ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Russell Kane | 1995 | 1994 - Bachelor of Business - - Curtin University ~ 2002 - Diploma of Financial Markets - - Securities Institute of Australia |
| Ryan Stewart | 2007 | 2007 - ASX Accredited Derivative Adviser - - Tribeca ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Sandra Mirco | 2000 | 2005 - Advanced Diploma of Financial Planning - - Deakin ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2024 - Tax for Financial Advising - Other - Kaplan |
| Scott Ian Metcalf | 1995 | 2000 - Graduate Diploma of Financial Markets - - FINSIA |
| Shane Paul Lehmann | 1993 | 1993 - Bachelor of Commerce - - Curtin University ~ 1998 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia ~ 2005 - Accredited Derivatives Adviser Level 1 and 2 - - ASIC |
| Simon Yeo | 2002 | 1991 - Bachelor of Commerce - - University of Western Australia ~ 2002 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2002 - PS146 Generic & Securities - - Securities Institute of Australia |
| Sonya Renee Soudure | 2001 | 1996 - Bachelor of Psychology - - University of Western Australia ~ 1998 - Master of Management - Human Resources Management - - University of Western Australia ~ 2000 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia ~ 2007 - Accredited Derivatives Adviser Level 2 - - ASIC |
| Steven Victor Loxley | 2003 | 2003 - PS 146 - - The Securities & Derivatives Industry Association (SDIA) |
| Sven Christopher Burrell | 2002 | 2002 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2003 - Accredited Derivatives Adviser Level 1 - - ASIC ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2019 - FPC003 Superannuation and Retirement Advice - Other - Kaplan ~ 2020 - FPC004 Insurance Advice - Other - Kaplan |
| Thomas William Shackles | 2018 | 2015 - Bachelor Of Commerce - - University of Western Australia ~ 2017 - Taxation unit - Other - Chartered Accountants ~ 2019 - ADA Levels 1 & 2 - - SAFAA ~ 2022 - FPC001B Economic and Legal Context for Financial Planning - Other - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Timothy Bunney | 2012 | 2011 - RG146 Securities & Managed Investments - - Deakin Prime Corporate Education |
| Timothy Douglas Cottee | 2009 | 2005 - Bachelor of Commerce - - University of Western Australia ~ 2012 - Accredited Derivatives Adviser Level 1 - - ASIC ~ 2012 - Graduate Certificate of Applied Finance and Investment - - Kaplan |
| Timothy Lyons | 2014 | 1979 - Bachelor of Commerce - - University of Western Australia ~ 1995 - Diploma of Financial Markets - - Securities Institute of Australia |
| Tyler Sebastian Hurley | 2017 | 2014 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2014 - Certificate IV in Finance and Mortgage Broking - - Kaplan ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - SuperConcepts & ICFS Specialist SMSF Course - Other - The University of Adelaide ~ 2024 - Commercial Law - Other - Kaplan |
| XI Ryan LI | 2018 | 2011 - Bachelor of Commerce (Accounting) - - Curtin University of Technology ~ 2013 - Master of Science (Actuarial and Financial Science) - - Curtin University of Technology ~ 2017 - Advanced Diploma of Financial Planning - - Monarch Institute ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Zara Edgar | 0 | 2022 - National DTR Accreditation (Cash Equities) - Other - Stockbrokers and Financial Advisers Association ~ 2024 - Accredited Derivatives Adviser Level 1 (ADA1) - Other - Stockbrokers and Investment Advisers Association ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |