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 |
|---|---|---|
| Bree Emily Loxley | 2014 | 2007 - Bachelor of Science - Honours - Bachelor Honours Degree (AQF 8) - University of Western Australia ~ 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional Education ~ 2016 - SMSF Specialist Advisor - Other - SMSF Association ~ 2020 - FASEA - Other - FASEA Standard Authority ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education ~ 2023 - Accredited Aged Care Professional - Other - Aged Care Steps |
| Charles Douglas Aplin | 2011 | 1993 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Western Australia ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Three Sixty ~ 2010 - Certificate IV in Financial Services (Finance/Mortgage Broking) - Certificate (AQF 1-4) - Kaplan Professional Education ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2012 - Diploma of Finance and Mortgage - Diploma (AQF 5) - Kaplan Professional Education |
| Michael Dennis Lee | 1989 | 1993 - Certificate in Financial Markets - Certificate (AQF 1-4) - Securities Institute of Australia ~ 1993 - Certified Financial Planner (CFP) - Certificate (AQF 1-4) - Financial Planning Association of Australia (FPA) ~ 2006 - SMSF Specialist Advisor - Other - Self Managed Super Fund Association ~ 2021 - FASEA Exam - Other - FASEA Standards Authority |
| Simone Elizabeth Kerr | 2006 | 1999 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Murdoch University ~ 2004 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2020 - FASEA Exam - Other - FASEA Standards Authority |