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 | 2008 - Bachelor of Commerce, majoring in Property - - Curtin University ~ 2012 - Master of Financial Planning - Masters Degree (AQF 9) - Curtin University |
| Bryce Alan Wild | 2017 | 2011 - Bachelor of Commerce - - Rhodes University ~ 2012 - Bachelor of Commerce (Management) - - Rhodes University ~ 2015 - Graduate Diploma in Financial Planning - - Milpark Education ~ 2017 - Diploma of Financial Planning - - Kaplan Professional |
| Bryn David Evans | 2023 | 2014 - Commerce, triple major in Investment Finance, Corporate Finance and Money and Banking - Bachelor Degree (AQF 7) - University of Western Australia ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Justin Stuart Gilmour | 2000 | 1998 - Bachelor of Business (Marketing) - - Edith Cowan University (ECU) ~ 2003 - Diploma of Financial Advising - - Kaplan Professional |
| Magda Lucia Rocha Betlem | 2016 | 1999 - Bachelor of Accountancy - - CEUMA Brazil ~ 2006 - Bachelor of Business - - Edith Cowan University ~ 2015 - SMSF Specialisation - - CPA Australia ~ 2016 - Diploma of Financial Planning - - Mentor Education |
| Nada Maticevic | 2000 | 2003 - Diploma of Financial Planning - - FPA & Deakin University ~ 2005 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia Limited ~ 2010 - Bachelor of Business (Economics and Finance) - - Edith Cowan University (ECU) |
| Noreen Les | 2015 | 2006 - Diploma Financial Services (Financial Planning) FNS50804 - - Kaplan Professional ~ 2007 - Advanced Diploma - Financial Planning - - Kaplan ~ 2012 - RG146 Margin Lending - - GWM Adviser Services ~ 2018 - Graduate Diploma of Financial Planning - - Kaplan Professional |
| Timothy Patrick Sullivan | 2011 | 1995 - Bachelor Degree - Economics - - The Univeristy of Sydney ~ 1998 - Applied Finance - Graduate Diploma (AQF 8) - Financial Planning Association of Australia ~ 2003 - Diploma - Financial Planning - - Financial Planning Association of Australia ~ 2017 - CFP- Certified Financial Planner - - Financial Planning Association of Australia (FPA) |