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 | ADA2 - KAPLAN ~ DFP5v2 Tax for Financial Advising/ TASACLv1 Commercial Law - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Applied Finance and Investment - The Securities Institute of Australia ~ Margin Lending Skills - KAPLAN |
| Adam Plowman | 1998 | ADA1 - KAPLAN ~ DFP5v2 Tax for Financial Advising - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Superannuation - Stockbrokers Association of Australia ~ TASACLv1 Commercial Law - KAPLAN |
| Bradley James Motteram | 2023 | Bachelor of Commerce (Accounting and Finance Double Major) - Curtin University ~ Graduate Diploma of Chartered Accounting - Chartered Accountants Australia and New Zealand ~ Graduate Diploma of Financial Planning - Kaplan |
| David Giuseppe Mari | 2023 | Bachelor of Commerce (Major in Management) - Curtin University ~ Graduate Diploma Financial Planning - Kaplan |
| James Oliver Rees | 2005 | ADA2 - KAPLAN ~ DFP5v2 Tax for Financial Advising - KAPLAN ~ Diploma of Financial Services (Financial Planning) - The Securities Institute of Australia ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia |
| Jeffrey Wayne Parkinson | 2005 | DFP5v2 Tax for Financial Advising - KAPLAN ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Graduate Diploma of Applied Finance and Investment - FINSIA ~ Graduate Diploma of Financial Planning - FINSIA ~ Margin Lending Skills - Stockbrokers and Financial Advisers Association |
| Kim Paine | 2001 | Bachelor of Business - Curtin University of Technology ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Year Programme - Institute of Chartered Accountants ~ Superannuation - Stockbrokers Association of Australia |