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 |
|---|---|---|
| Courtney Michael Charles Moores | 2018 | 2017 - Diploma of Financial Planning - - Kaplan ~ 2018 - Securities and Managed Investments - - Kaplan |
| Daniel Christopher Hewitt | 2014 | 1999 - Bachelor of Commerce - - University of Western Australia ~ 2002 - Bachelor of Law - - Bond University ~ 2008 - Graduate Diploma of Applied Finance and Investment - - FINSIA ~ 2014 - Diploma of Financial Planning - - International Institute of Technology ~ 2014 - Self Managed Superannuation Funds - - International Institute of Technology |
| James Benjamin Mooney | 2009 | 2004 - Bachelor of Commerce (Finance) - - Curtin University ~ 2008 - Diploma of Financial Services (Financial Planning) - - AMP Limited ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2023 - Commercial Law - Other - Kaplan Professional ~ 2023 - Tax for Financial Advising - Other - Kaplan Professional |
| Jay Rodney Brennan | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - - PS146 Training Australia ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2012 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Self Managed Super Funds - - Kaplan Professional |
| Joshua Hummerston | 2014 | 2012 - Diploma of Financial Service (Insurance Broking) - Diploma (AQF 5) - Australian and New Zealand Institute of Insurance and Finance ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Australian and New Zealand Institute of Insurance and Finance ~ 2015 - Investment Adviser (Personal Advice) - Other - Mentor Institute ~ 2018 - Advanced Diploma of Financial Planning - - Mentor Education Pty Ltd ~ 2020 - Self Managed Superannuation Fund Adviser (Personal Advice) - Other - Mentor Education |
| Stephen Andrew Phillips | 2008 | 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2022 - Fellow Chartered Financial Practioner - Professional Designations - AFA ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - Tax For Financial Advising - Professional Designations - Kaplan |
| Timothy John Charles Luxton | 2002 | 2003 - Bachelor of Business Major in Marketing - - Edith Cowan University ~ 2005 - Certificate 4 in Financial Services (Finance/Mortgage Broking) - - Archer College ~ 2006 - Diploma of Financial Planning - - Financial Planning Association Of Australia Limited ~ 2011 - Margin Lending and Geared Investments - - Kaplan |
| William James Walker | 2008 | 2006 - Bachelor of Business (Finance and Marketing) - Bachelor Degree (AQF 7) - Edwin Cowan University ~ 2009 - Self Managed Super Funds and Accredited Listed Product Adviser Courses - Other - Kaplan Professional ~ 2010 - Margin Lending and Geared Investments Course - Other - 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 |