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 clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Emma Cork | 2002 | Australian Institute of Company Directors - Australian Institute of Company Directors ~ Certified Financial Planner - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning - Financial Planning Association of Australia |
| Gregory John Polglase | 1998 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning - Deakin University/Financial Planning Association (FPA) ~ Graduate Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds Adviser Accreditation - Financial Essentials |
| Jeffrey Petrie | 2007 | Advanced Diploma - Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Jodie Lisa Wickham | 2018 | Bachelor of Commerce (Financial Planning) - Curtin University |
| Liam Wallace | 2009 | Bachelor of Commerce (Financial Planning) - Curtin University ~ Diploma of Finance & Mortgage Broking - Kaplan |
| Lisa Margaret Farnell | 1999 | Bachelor Degree - Commerce - Deakin University ~ Certified Financial Planner - FPA ~ Diploma - Financial Planning - Deakin University and FPA ~ Margin Lending Gap Assessment - Kaplan |
| Matthew James Hern | 2003 | Graduate Diploma of Financial Planning - Securities Institute of Australia |
| Michael Stuart Pyne | 2004 | Bachelor of Commerce - Curtin University ~ Certificate IV Finance and Mortgage Broking - Kaplan ~ Certified Financial Planner - FPA ~ Graduate Diploma of Financial Planning - Securities Institute of Australia |
| Nathan Ross Morgan | 0 | Financial Planning - Kaplan |
| Nicholas John Bordi | 2015 | Bachelor of Commerce - Curtin University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Kaplan ~ SMSF Specialist Adviser - SMSF Association |
| Norman John Jupp | 1984 | CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma - Financial Planning - DEAKIN UNIVERSITY ~ Diploma in Life Insurance - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending Gap Assessment - Kaplan |
| Paul Joseph Burton | 2002 | Certified Financial Planner - Deakin ~ Diploma of Financial Markets - Securities Institute ~ Diploma of Financial Planning - MLC Threesixty ~ SMSF Association SMSF Specialist Advisor - SMSF Association |
| Paul Russell Black | 2003 | Bachelor of Business - Edith Cowan University ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Services - Tribeca ~ Margin Lending & Geared Investments Adviser Accreditation - Kaplan ~ Self Managed Superannuation Funds (SMSF) Adviser Accreditation - Financial Essentials |
| Robert Pyne | 1997 | Bachelor of Science - Curtin University ~ Certified Financial Planner - FPA ~ Graduate Diploma in Financial Planning - Securities Institute of Australia |
| Sean Jeffery Michael Bennett | 2023 | Bachelor of Commerce - Accounting - Curtin University ~ Graduate Diploma of Financial Planning - Swinburne University of Technology |
| Stephen Anagno | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business - Edith Cowan University ~ Diploma of Financial Services (Financial Planning) - Kaplan |
| Thomas William Sweeny | 2018 | Bachelor of Commerce (Finance and Economics) - University of Western Australia ~ Diploma of Financial Planning - Kaplan Professional ~ Margin Lending Specialist - Kaplan |
| Zacary James Leeson | 2015 | Bachelor of Science and Bachelor of Commerce - University of Western Australia ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Kaplan Professional |