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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; 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
financial products limited to:
miscellaneous financial investment products limited to MDA services;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
underwriting:
an issue of securities;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aaron Charles Young | 2016 | 2013 - Bachelor of Commerce and Economics - - University of Western Australia ~ 2015 - Margin Lending Plus Skills - - Stockbrokers Association of Australia ~ 2019 - Advanced Diploma of Financial Planning - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2019 - Relevant Provider Exam - Other - FASEA |
| Jakeb Shine | 2024 | 2020 - Bachelor of Commerce (Finance and Management) - Bachelor Degree (AQF 7) - Curtin University ~ 2023 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Michael Brindal | 2001 | 1999 - Bachelor of Commerce - - University of Western Australia ~ 2002 - Graduate Diploma of Financial Planning - - FINSIA ~ 2017 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2019 - Relevant Provider Exam - Other - FASEA |