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