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;
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; 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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Anthony Thai Nguyen | 2025 | 2022 - Bachelor of Commerce (Finance and Financial Planning) - Bachelor Degree (AQF 7) - Curtin University |
| Daniel Christopher Hewitt | 2014 | 1999 - Batchelor of Commerce majoring in Accounting & Finance - Bachelor Degree (AQF 7) - University of Western Australia ~ 2002 - Batchelor of Law - Bachelor Honours Degree (AQF 8) - Bond University ~ 2008 - Graduate Diploma of Applied Finance & Investment - Graduate Diploma (AQF 8) - Financial Services Institute of Australia ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology ~ 2014 - Self Managed Superannuation Fund - Certificate (AQF 1-4) - International Institute of Technology ~ 2024 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| James Benjamin Mooney | 2009 | 2004 - Batchelor of Commerce Property and Finance - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - AMP Limited ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2023 - Accredited Listed Product Adviser (ALPA) - Professional Designations - Kaplan Professional ~ 2023 - Commercial Law - Professional Designations - Kaplan Professional ~ 2023 - Margin Lending and Geared Investment - Professional Designations - Kaplan Professional ~ 2023 - Tax Planning - Professional Designations - Kapan Professional |
| Jay Rodney Brennan | 2008 | 2008 - Batchelor of Commerce Global Economics and Finance Double Major - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - PS146 Training Australia ~ 2011 - Margin Lending & Geared Investments - Professional Designations - Kaplan Professional ~ 2012 - Accredited Listed Product Adviser Program - Professional Designations - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2013 - Self Managed Superannuation Fund - Professional Designations - Kaplan Professional ~ 2014 - Certificate IV Finance and Mortgage Broking - Certificate (AQF 1-4) - AAMC Training Group ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Joshua Hummerston | 2014 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Australian and New Zealand Institute of Insurance and Finance ~ 2015 - Investment Adviser (personal Advice - Certificate (AQF 1-4) - Mentor Education ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education Pty Ltd ~ 2020 - Aged Care Professional - Professional Designations - Age Care Steps ~ 2020 - Self Managed Superannuation Fund Adviser (Personal Advice) - Professional Designations - Mentor Education ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| William James Walker | 2008 | 2006 - Bachelor of Business (Finance and Marketing) - Bachelor Degree (AQF 7) - Edwin Cowan University ~ 2009 - Self Managed Superannuation Funds and Accredited Listed Product Advice Course - Professional Designations - Kaplan Professional ~ 2010 - Margin Lending and Geared Investments Course - Professional Designations - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice Course - Bridging Course - Ethics - Kaplan Higher Education |