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 |
|---|---|---|
| Alexander Luck | 2014 | 2011 - Bachelor of Commerce - - The University of Western Australia ~ 2011 - Bachelor of Economics - - The University of Western Australia ~ 2017 - Master of Financial Planning - Applied Financial Planning, Superannuation & Retirement - - Kaplan ~ 2018 - Commerical Law for Tax (Financial) Advisers - - Mentor Education ~ 2019 - Self Managed Superannuation Fund Adviser - - Mentor Education |
| Ashley Pickett | 2024 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Daisy Stella Magor | 2022 | 2016 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jacob Reide Oostdam | 0 | 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Notre Dame Australia ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Katrina Amy Smith | 2022 | 2016 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Luke Jordan Knight | 0 | 2021 - Bachelor of Commerce Finance & Business Law - Bachelor Degree (AQF 7) - University of Western Australia ~ 2024 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Scott James Taylor | 2018 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Margin Lending and Geared Investments - - Kaplan ~ 2017 - Advanced Financial Planning - - Kaplan ~ 2018 - Commercial Law - - Kaplan ~ 2018 - DFP5v3 Tax for Financial Advising - - Kaplan |
| Thomas Rutter | 2018 | 2011 - Bachelor of Arts - Business and Management - Bachelor Degree (AQF 7) - Leeds Metropolitan University ~ 2018 - Diploma of Financial Planning - - Kaplan |