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;
derivatives limited to;
arrangements entered into on a licensed market
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;
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;
derivatives limited to;
arrangements entered into on a licensed market
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;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aaron Ross-connolly | 2000 | 2003 - Graduate Diploma of Applied Finance and Investment - - The Securities Institute of Australia ~ 2004 - ADA2 - - KAPLAN ~ 2017 - DFP5v2 Tax for Financial Advising/ TASACLv1 Commercial Law - - KAPLAN ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN ~ 2019 - Margin Lending Skills - - KAPLAN |
| Adam Plowman | 1998 | 2002 - ADA1 - - KAPLAN ~ 2011 - Superannuation - - Stockbrokers Association of Australia ~ 2017 - DFP5v2 Tax for Financial Advising - - KAPLAN ~ 2017 - TASACLv1 Commercial Law - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Bradley James Motteram | 2023 | 2016 - Bachelor of Commerce (Accounting and Finance Double Major) - Bachelor Degree (AQF 7) - Curtin University ~ 2018 - Graduate Diploma of Chartered Accounting - Graduate Diploma (AQF 8) - Chartered Accountants Australia and New Zealand ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| David Giuseppe Mari | 2023 | 2020 - Bachelor of Commerce (Major in Management) - Bachelor Degree (AQF 7) - Curtin University ~ 2022 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| James Oliver Rees | 2005 | 2003 - Diploma of Financial Services (Financial Planning) - - The Securities Institute of Australia ~ 2008 - ADA2 - - KAPLAN ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2017 - DFP5v2 Tax for Financial Advising - - KAPLAN ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Jeffrey Wayne Parkinson | 2005 | 2006 - Graduate Diploma of Financial Planning - - FINSIA ~ 2007 - Graduate Diploma of Applied Finance and Investment - - FINSIA ~ 2017 - DFP5v2 Tax for Financial Advising - - KAPLAN ~ 2019 - Margin Lending Skills - - Stockbrokers and Financial Advisers Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Kim Paine | 2001 | 1989 - Bachelor of Business - - Curtin University of Technology ~ 1992 - Professional Year Programme - - Institute of Chartered Accountants ~ 2012 - Margin Lending - - Stockbrokers Association of Australia ~ 2013 - Superannuation - - Stockbrokers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |