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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Anthony Louis Muller | 2009 | 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2009 - Bachelor of Commerce (Economics and Financial Planning) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2012 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2018 - CFP Certification Program - Professional Designations - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Ashley James Cornish | 2012 | 1998 - Bachelor of Commerce (Management and Marketing) - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Securities Institute ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2009 - CFP Certification Program - Professional Designations - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jason Robert Ward | 2017 | 2017 - Diploma of Financial Planning - - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan |
| Kevin James Bradshaw | 2006 | 2005 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Securities Institute ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Miranda Weston | 2018 | 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Paul David Rowlands | 2006 | 2004 - CFP Certification Program - Professional Designations - Financial Planning Association ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |