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 |
|---|---|---|
| Christopher Aaron Ninyett | 2018 | 2015 - Bachelor of Business in Accounting and Finance - - Edith Cowan University ~ 2017 - Diploma of Financial Planning - - Monarch Institute |
| Frank Matthew Smith | 1995 | 2002 - Certified Financial Planner - - Financial Planning Association ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jeffrey Douglas Chin | 1997 | 1988 - Bachelor of Business (Hons) - - Curtin University ~ 2004 - Certified Investment Management Analyst - - Investment Managements Consultants Association ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Marcus Parkinson | 2018 | 2007 - Bachelor of Commerce in Accounting and Finance - - University of Otago ~ 2013 - Certified Practicing Accountant - - CPA Australia ~ 2018 - Chartered Tax Adviser - - The Tax Institute ~ 2018 - RG 146 - - Financial Education Professionals |
| Mark Robert Kynaston | 2001 | 1996 - Bachelor of Commerce (Accounting & Business Law) - - Curtin University ~ 1999 - Certified Practicing Accountant - - CPA Australia ~ 2012 - Chartered Tax Adviser - - The Tax Institute ~ 2014 - Institute of Public Accountants - - Institute of Public Accountants |
| Michael Deeny | 2017 | 2008 - Bachelor of Commerce - - Curtin University ~ 2014 - Chartered Accountant - - The Insitute of Chartered Accountants Australia and New Zealand ~ 2015 - Cert IV Finance and Mortgage Broking - - Kaplan Professional ~ 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Chartered Tax Adviosor - - The Tax Institute |
| Miles Drummond Metcalf | 1999 | 1998 - Bachelor of Business - - University of WA ~ 2003 - Chartered Accountant - - Chartered Accountants Australia ~ 2012 - Chartered Tax Adviser - - The Tax Institute ~ 2014 - Institute of Public Accountants - - Institute of Public Accountants |
| Stephen William Jones | 1996 | 1991 - Bachelor of Business (Accounting) - - Edith Cowan University ~ 1996 - Certified Practicing Accountant - - CPA Australia ~ 2012 - Chartered Tax Adviser - - The Tax Institute ~ 2014 - Institute of Public Accountants - - Institute of Public Accountants ~ 2019 - Ethics & Professionalism - Bridging Course - Ethics - Kaplan |