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;
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;
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 |
|---|---|---|
| Adrian Whitaker | 2002 | 2002 - Diploma - Financial Advising - - Securities Institute ~ 2007 - CFP - Certified Financial Planner - - Financial Planning Association of Australia |
| Alexander Aubrey Hurst | 2005 | 2005 - Diploma of Financial Planning - - Australian Security Institute ~ 2007 - Certified Financial Planner - - FPA |
| Andre Quincy Matambanadzo | 2007 | 2009 - Advanced Diploma - Financial Planning - - Kaplan ~ 2019 - Graduate Certificate in Financial Planning - - Kaplan |
| Andrew Luke Dos Santos | 2018 | 2007 - Certificate II in Business - - Challenger Institute of Technology ~ 2012 - Bachelor of Commerce - - Murdoch University ~ 2015 - Diploma of Share Trading & Investment - - Wealthwithin Institute ~ 2017 - Diploma of Financial Planning - - Kaplan Professional |
| Bruce Ramon Hancock | 2003 | 1993 - Bachelor of Business (Financial Management & Economics) - - Curtin University of Technology ~ 2007 - Diploma of Financial Services (FP) - - Tribeca ~ 2008 - Advanced Diploma of Financial Services (FP) - - Kaplan ~ 2011 - Margin Lending & Geared Investments - Self Managed Super Funds - - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Christian Colkers | 2016 | 2009 - Bachelor of Commerce - Economics and Financial Planning - - Curtin University of Technology ~ 2018 - Certified Financial Planner (CFP) - - FPA |
| Christian Scala | 2003 | 1999 - Bachelor Degree - Commerce - - Curtain University ~ 2004 - Diploma - Financial Planning - - Financial Planning Association of Australia ~ 2008 - CFP - Certified Financial Planner - - Financial Planning Association of Australia |
| Connor Shears | 2022 | 2020 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Douglas Horsford | 2006 | 2005 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2007 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2011 - RG146 Provide advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Gehan Coelho | 2006 | 1999 - Bachelor Degree - Business - - Edith Cowan University ~ 2001 - Graduate Diploma - Business Management - - Edith Cowan University ~ 2008 - CFP - Certified Financial Planner - - Financial Planning Association of Australia |
| Janusz Mazurek | 2005 | 2001 - Bachelor Degree - Psychology - - Edith Cowan University ~ 2004 - Diploma - Financial Planning - - Financial Planning Association of Australia Limited ~ 2008 - CFP - Certified Financial Planner - - Financial Planning Association of Australia Limited ~ 2012 - Other - Accredited Estate Planning Strategist - - Financial Planning Association of Australia Limited ~ 2017 - Accredited Aged Care Professional - Professional Designations - Aged Care Steps Pty Ltd |
| Jeff Karim | 2018 | 2008 - Bachelor of Commerce - - Murdoch University ~ 2014 - Diploma of Financial Planning - - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan ~ 2018 - CPA Certified Practicing Accountant - - CPA |
| Lisa Smith | 2017 | 2006 - Bachelor Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2006 - Bachelor Laws - Bachelor Degree (AQF 7) - University of Western Australia ~ 2008 - Graduate Diploma of Legal Practice - Graduate Diploma (AQF 8) - College of Law ~ 2009 - Master of Laws - Masters Degree (AQF 9) - Queensland University Technology ~ 2016 - Advanced Diploma Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Mentor Education Group |
| Naomi Kathleen Grey | 2017 | 2013 - Bachelor of Business (Accounting & Public Practice) - - Edith Cowan University ~ 2016 - Diploma of Financial Planning - - Mentor Education ~ 2017 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2019 - Ethics and Professionalism in Financial Advice - Other - Kaplan Professional |
| Nicholas James Ferguson | 2003 | 2004 - Diploma of Financial Advising - - FINSIA Education ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2011 - Self Managed Super Funds - - Kaplan ~ 2020 - Grad Dip Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Sarvar Gaziev | 2018 | 2000 - Bachelors Degree in the Specialty of Economics - - Tashkent State University of Economics, Uzbekistan ~ 2005 - Masters Degree in the Specialty of Regional Economy - - Tashkent State University of Economics, Uzbekistan ~ 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2021 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan |
| Shelley Tiet | 2015 | 2009 - Bachelor of Commerce - - Curtin University ~ 2012 - Diploma Of Financial Planning - - Kaplan Professional Education ~ 2014 - Advanced Diploma Of Financial Planning - - Kaplan Professional Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan professional |
| Slade Alexander Burnet | 2004 | 1985 - Bachelor of Commerce - - University of Western Australia ~ 2004 - DFS(FP)3 Investment Planning - - GWM adviser Services ~ 2004 - DFS(FP)4 Superannuation - - GWM adviser Services ~ 2012 - CFP- Certified Financial Planner - - Financial Planning Association of Australia (FPA) ~ 2023 - Accredited Aged Care Professional - Professional Designations - Aged Care Steps Pty Ltd |
| Steven James Beattie | 2003 | 1987 - Bachelor Degree - B Soc Sci Econs - - Curtin University ~ 2003 - Certified Financial Planner (CFP) - - Financial Planning Association |
| Trey Moredoundt | 2010 | 2008 - Bachelor of Commerce (Economics and Finance) - - Curtin University ~ 2009 - Diploma of Financial Services (Financial Planning) - - ThreeSixty (GWM Adviser Services) ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Troy Hartley | 1995 | 2001 - Diploma - Financial Planning - - Financial Planning Association of Australia ~ 2002 - Certified Financial Planner (CFP) - - Financial Planning Association (FPA) ~ 2015 - SMSF Specialist Adviser Accreditation - - SMSF Association ~ 2022 - Financial Planning - Graduate Diploma (AQF 8) - Deakin University ~ 2023 - Accredited Aged Care Professional - Other - Aged Care Steps Pty Ltd |