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 James O'brien | 1997 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning (DFP 1 - 4) - Integratec (Kaplan Professional) ~ Margin Lending & Geared Investments - Kaplan Professional |
| Benjamin Keith Armstrong | 2000 | Bachelor of Commerce (Banking and Finance) - Curtin University ~ Graduate Diploma in Financial Planning - Securities Institute |
| Bonnie Simpson | 2022 | Bachelor Commerce - Deakin |
| Bradley Buters | 2013 | Bachelor of Commerce Majoring in Financial Planning and Economics - Curtin University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Masters of Accounting - Curtin University |
| Brent David Coxon | 2008 | Advance Diploma of financial service - Kaplan ~ Diploma of Financial Services - Kaplan |
| Cameron Mitchell | 2015 | Advanced Diploma of Financial Planning - Monarch Institute ~ Diploma Of Financial Planning - Monarch Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional ~ bachelor of commerce (Financial Planning) - Nelson Mandela Metropolitan University |
| Carol Lobo | 2005 | Bachelor of Commerce (Financial Planning) - Curtin University ~ Certified Financial Planner - Deakin University ~ Diploma in Business Studies - TAFE ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Digby John Hurst | 2005 | 7269AFE/7815AFE Ethics and Professionalism - Griffith University ~ Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Bachelor of Business (Finance) - Edith Cowan University (ECU) ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Jin LI | 2007 | Bachelor of Economics - University of Western Australia ~ Graduate Certificate of Financial Planning - FINSIA |
| Joshua Ellery Oscar Warmington | 2016 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - Murdoch University ~ Diploma of Financial Planning - Kaplan ~ Margin Lending - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Kristen Louise Quirk | 2009 | Advanced Diploma of Financial Planning FNS60404 - GWM Adviser Services Limited (MLC) ~ Diploma of Financial Planning FNS50804 - Pinnacle Financial Services Academy ~ Graduate Diploma of Financial Planning - Kaplan |
| Matthew Rafols | 2002 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Nathan Collins | 2021 | Bachelor of Commerce (majoring in Financial Planning) - Deakin University ~ Self Managed Superannuation Funds - Kaplan Professional |
| Nicholas Blunden | 2009 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending & Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Mentor Education |
| Peter Lucas Davies | 2004 | Certified Financial Planner (CFP) - FPA ~ Diploma of financial Services - Deakin University |
| Ryne Gerald Charsley | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business (Major in Finance and Accounting) - Edith Cowan University ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Steven Bean | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Banking and Finance) - Curtin University ~ Certificate IV in Business - WG Learning ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Tania Elizabeth Chau | 1998 | Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA |