JAMES KEVIN BROAD
Financial Adviser · Newcastle West, NSW
📚 Qualifications & Training
2003 - ACFI 3170 Taxation in Australia - Bachelor Degree (AQF 7) - The University of Newcastle
2003 - Bachelor of Finance - Bachelor Degree (AQF 7) - The University of Newcastle
2005 - LS251 Introduction to Business Law - Graduate Diploma (AQF 8) - The University of Newcastle
2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca
2007 - Graduate Diploma in Financial Management - Graduate Diploma (AQF 8) - The University of New England
2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional
2019 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia (FPA)
2024 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional
🏢 Professional Memberships
Financial Advice Association of Australia (FAAA)
ℹ️ What is a Financial Adviser?
A registered Financial Adviser is authorised under an Australian Financial Services Licence (AFSL) to provide personal advice on investments, superannuation, life insurance, and other financial products to retail clients.
Financial advisers must meet strict education, training, and ethical standards set by ASIC. This includes holding relevant qualifications, meeting ongoing professional development requirements, and maintaining appropriate professional indemnity insurance.
Data source: ASIC Financial Advisers Register via data.gov.au, updated weekly.