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;
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;
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 |
|---|---|---|
| Brett Stanley Ellis | 2010 | 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - AAMC Training Group |
| Leanne Joy Moir | 2002 | 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2007 - Self Managed Superannuation Funds - - Tribeca ~ 2017 - TASACLv1 Commercial Law - - Kaplan ~ 2021 - Financial Adviser Exam - Other - ASIC |
| Luke Elden Smith | 2010 | 2009 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - RG 146 Training Australia ~ 2011 - Margin Lending & Geared Investments - Certificate (AQF 1-4) - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan Professional ~ 2013 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan |
| Mark Andrew Moir | 2018 | 2018 - Diploma of Financial Planning - - Kaplan ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Peter John Martinovich | 1986 | 1991 - Bachelor of Business - - Edith Cowan University ~ 1994 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2000 - Graduate Diploma in Applied Finance and Investment - - Securities Institute |
| Troy Hart | 2012 | 2006 - Bachelor of Business - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2015 - Masters of Professional Accounting - Masters Degree (AQF 9) - Murdoch University ~ 2015 - Self Managed Superannuation Funds - - Kaplan ~ 2020 - Certified Financial Planner - Professional Designations - Financial Planning Association |