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;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
interests in managed investment schemes limited to:
MDA 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 Raymond Brennan | 2017 | 2014 - Bachelor of Commerce (Banking & Finance) - - Curtin University of Technology ~ 2017 - Master of Financial Planning - - Griffith University ~ 2021 - SuperConcepts & ICFS Specialist SMSF Course - Other - The University of Adelaide |
| Bevan Ashley Smith | 2000 | 1988 - Bachelor of Science - - University of Western Australia ~ 1996 - Graduate Diploma of Business in Finance - - Edith Cowan University ~ 2017 - Tier 1 Financial Planning - Personal Advice - - Kaplan Professional |
| Cindy Chiuman | 2014 | 2012 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2019 - Accredited Aged Care Professional - Professional Designations - Aged Care Steps |
| Isabella Olivia Grace Sepede | 2016 | 2015 - Bachelor of Commerce - - The University of Western Australia ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2019 - CFP Certification Program - - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Other - Kaplan Professional |
| Kieran Ian Brogle | 2018 | 2018 - Diploma of Financial Planning - - Monarch Institute |
| Paul David Begley | 1994 | 1994 - Bachelor of Commerce in Accounting & Business Law - - Curtin University of Technology ~ 1998 - Associate Chartered Accountant - - Institute of Chartered Accountants ~ 2003 - Graduate Diploma in Financial Planning - - Financial Services Institute of Australasia ~ 2011 - SMSF Specialist Advisor - - Self Managed Superannuation Fund Association ~ 2012 - Chartered Tax Adviser - - Tax Institute of Australia |
| Riley Somers | 2024 | 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Steven James Hendry | 2005 | 2002 - Bachelor of Commerce (Corporate, Investment & Quantitative Finance Majors) - - UWA ~ 2004 - Master of Financial Planning (Distinction) - - Curtin University of Technology ~ 2011 - SMSF Specialist Advisor - - Self Managed Superannuation Fund Association ~ 2012 - Chartered Tax Adviser - - Tax Institute of Australia ~ 2021 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Taymar Iman Gordon | 2024 | 2022 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University |
| Tyler Adam Woodhouse | 2024 | 2023 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University |