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 restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
management or mitigation of the financial consequences of particular circumstances happening; or
avoiding or limiting the financial consequences of fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
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;
derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
management or mitigation of the financial consequences of particular circumstances happening; or
avoiding or limiting the financial consequences of fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
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 |
|---|---|---|
| Adam Pontague | 2014 | Bachelor of Commerce, majoring in Property - Curtin University ~ Master of Financial Planning - Curtin University |
| Bryce Alan Wild | 2017 | Bachelor of Commerce (Management) - Rhodes University ~ Bachelor of Commerce - Rhodes University ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma in Financial Planning - Milpark Education |
| Bryn David Evans | 2023 | Commerce - University of Western Australia ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Cavell Garry Sarre | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Economics and Finance) - Curtin University of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional ~ Tier 1 Margin Lending - Personal Advice - Kaplan Professional |
| Justin Stuart Gilmour | 2000 | Bachelor of Business (Marketing) - Edith Cowan University (ECU) ~ Diploma of Financial Advising - Kaplan Professional |
| Magda Lucia Rocha Betlem | 2016 | Bachelor of Accountancy - CEUMA Brazil ~ Bachelor of Business - Edith Cowan University ~ Diploma of Financial Planning - Mentor Education ~ SMSF Specialisation - CPA Australia |
| Nada Maticevic | 2000 | Bachelor of Business (Economics and Finance) - Edith Cowan University (ECU) ~ Diploma of Financial Planning - FPA & Deakin University |
| Noreen Les | 2015 | Advanced Diploma - Financial Planning - Kaplan ~ Diploma Financial Services (Financial Planning) FNS50804 - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ RG146 Margin Lending - GWM Adviser Services |
| Timothy Patrick Sullivan | 2011 | Bachelor Degree - Economics - The Univeristy of Sydney ~ CFP- Certified Financial Planner - Financial Planning Association of Australia (FPA) ~ Diploma - Financial Planning - Financial Planning Association of Australia ~ Graduate Diploma - Applied Finance - Financial Services Institute of Australia |