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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
general insurance 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:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
general insurance 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 |
|---|---|---|
| Bradley Reuben Mumme | 1995 | 1990 - Bachelor of Arts - - Edith Cowan University ~ 1996 - Graduate Diploma of Applied Finance & Investments - - Securities Institute of Australia ~ 1999 - Diploma of Financial Planning - - Deakin University ~ 2003 - Certified Financial Planner - - Financial Planning Association ~ 2020 - ethics and professionalism in financial advice - Bridging Course - Ethics - Kaplan |
| Dylan Adams | 0 | 2015 - Bacheler of Commerce (Double major in Economics) - Bachelor Degree (AQF 7) - University of Western Australia ~ 2022 - FPC006 Taxation for Financial Planning - Other - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Glen Fraser Mumme | 1988 | 1985 - Bachelor of Business - - Edith Cowan University ~ 1991 - Certificate of Finance Broking - - WA Dept of Technology & Further Education ~ 2000 - Certified Financial Planner - - Financial Planning Association ~ 2000 - Diploma of Financial Planning - - Deakin University ~ 2020 - ethics and professionalism in financial advice - Bridging Course - Ethics - Kaplan |
| Trevor Leslie Mumme | 1988 | 1992 - MLC Proper Authority Training Program - - MLC Limited ~ 1993 - Financial Planning Course - - Independent Centre of Financial Planning ~ 2000 - Certified Financial Planner - - Financial Planning Association ~ 2000 - Diploma of Financial Planning - - Deakin University |