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 | 2002 - Diploma of Financial Planning (DFP 1 - 4) - Diploma (AQF 5) - Integratec (Kaplan Professional) ~ 2011 - Margin Lending & Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education |
| Benjamin Keith Armstrong | 2000 | 1995 - Bachelor of Commerce (Banking and Finance) - Bachelor Degree (AQF 7) - Curtin University ~ 2001 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute |
| Bonnie Doyle | 2022 | 2019 - Bachelor Commerce - Bachelor Degree (AQF 7) - Deakin |
| Bradley Buters | 2013 | 2009 - Bachelor of Commerce Majoring in Financial Planning and Economics - Bachelor Degree (AQF 7) - Curtin University ~ 2012 - Masters of Accounting - Masters Degree (AQF 9) - Curtin University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Brent David Coxon | 2008 | 2004 - Diploma of Financial Services - Diploma (AQF 5) - Kaplan ~ 2008 - Advance Diploma of financial service - Advanced Diploma (AQF 6) - Kaplan |
| Cameron Mitchell | 2015 | 2013 - bachelor of commerce (Financial Planning) - Bachelor Degree (AQF 7) - Nelson Mandela Metropolitan University ~ 2015 - Diploma Of Financial Planning - Graduate Diploma (AQF 8) - Monarch Institute ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2019 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Carol Lobo | 2005 | 2000 - Diploma in Business Studies - - TAFE ~ 2004 - Bachelor of Commerce (Financial Planning) - - Curtin University ~ 2006 - Certified Financial Planner - - Deakin University ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Christopher Michael Pereira | 2016 | 2011 - 6798 Taxation 301 - Other - Curtin University ~ 2015 - Bachelor of Commerce (Economics and Financial Planning) - Bachelor Degree (AQF 7) - Curtin University ~ 2019 - Certified Financial Planner (CFP) - Professional Designations - Financial Advice Association Australia ~ 2023 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2024 - Commercial Law - Other - Kaplan Professional |
| Digby John Hurst | 2005 | 2001 - Bachelor of Business (Finance) - - Edith Cowan University (ECU) ~ 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2007 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2020 - 7269AFE/7815AFE Ethics and Professionalism - Bridging Course - Ethics - Griffith University |
| Joshua Ellery Oscar Warmington | 2016 | 2013 - Bachelor of Commerce - - Murdoch University ~ 2014 - Diploma of Financial Planning - - Kaplan ~ 2014 - Self Managed Superannuation Funds - - Kaplan ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan ~ 2015 - Margin Lending - - Kaplan |
| Kristen Louise Quirk | 2009 | 2009 - Diploma of Financial Planning FNS50804 - - Pinnacle Financial Services Academy ~ 2011 - Advanced Diploma of Financial Planning FNS60404 - - GWM Adviser Services Limited (MLC) ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Martin Milton | 1999 | 2005 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca Learning (Aust) Pty Ltd ~ 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2010 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd ~ 2015 - Self Managed Superannuation Funds - - Kaplan |
| Matthew Rafols | 2002 | 2011 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Nathan Collins | 2021 | 2020 - Bachelor of Commerce (majoring in Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2021 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| Nicholas Blunden | 2009 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education ~ 2010 - Margin Lending & Geared Investments - Other - Kaplan ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2014 - Self Managed Superannuation Funds - Other - Mentor Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Peter Lucas Davies | 2004 | 2002 - Certified Financial Planner (CFP) - Graduate Certificate (AQF 8) - FPA ~ 2002 - Diploma of financial Services - Diploma (AQF 5) - Deakin University |
| Ryne Gerald Charsley | 2005 | 2002 - Bachelor of Business (Major in Finance and Accounting) - - Edith Cowan University ~ 2006 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2007 - CFP - Certified Financial Planner - - Financial Planning Association of Australia ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional |
| Steven Bean | 2012 | 2012 - Bachelor of Commerce (Banking and Finance) - Bachelor Degree (AQF 7) - Curtin University ~ 2013 - Certificate IV in Business - Certificate (AQF 1-4) - WG Learning ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Tania Elizabeth Chau | 1998 | 2003 - Diploma of Financial Planning - Diploma (AQF 5) - FPA ~ 2005 - Certified Financial Planner - Graduate Certificate (AQF 8) - FPA |