James Kevin Broad
Financial Adviser in Newcastle West, New South Wales, Australia
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Australian Securities and Investments Commission (ASIC)
Adviser number000299490
- Location
- Newcastle West NSW 2302
- Licensee
- Aware Financial Services Australia Limited (AFSL 238430)
- Authorised since
- 1 December 2019
- First provided advice
- 2004
- Qualifications
- ACFI 3170 Taxation in Australia, The University of Newcastle (2003); Bachelor of Finance, The University of Newcastle (2003); LS251 Introduction to Business Law, The University of Newcastle (2005); Diploma of Financial Services (Financial Planning), Tribeca (2007); Graduate Diploma in Financial Management, The University of New England (2007); Advanced Diploma of Financial Services (Financial Planning), Kaplan Professional (2009); Certified Financial Planner, Financial Planning Association of Australia (FPA) (2019); FPC002B Ethics and Professionalism in Financial Advice, Kaplan Professional (2024)
- Memberships
- Financial Advice Association of Australia (FAAA)
- Advice areas
- superannuation, securities, managed investment schemes, life risk insurance, life investment products, deposit and payment products, government debentures, stocks and bonds
- Restriction
- Authorised to provide advice on securities as an asset class (not individual stocks). One off licensee approval is required for all products which are not listed on the approved product list.
- Tax (financial) advice
- Yes
- Register status
- Current
About James Kevin Broad
James Kevin Broad is listed on ASIC’s Financial Advisers Register as a current financial adviser based in Newcastle West, New South Wales (adviser number 000299490).
Advice is given under the Australian financial services licence of Aware Financial Services Australia Limited, licence number 238430. That authorisation dates from 1 December 2019.
According to the register, James first provided financial advice in 2004. The qualifications listed for James include ACFI 3170 Taxation in Australia (The University of Newcastle, 2003), Bachelor of Finance (The University of Newcastle, 2003) and LS251 Introduction to Business Law (The University of Newcastle, 2005). Professional memberships recorded: Financial Advice Association of Australia (FAAA).
James is authorised to advise on superannuation, securities, managed investment schemes, life risk insurance, life investment products and deposit and payment products, among 7 product areas in total. The register also shows that tax (financial) advice services can be provided.
The register adds a condition to this authorisation: “Authorised to provide advice on securities as an asset class (not individual stocks). One off licensee approval is required for all products which are not listed on the approved product list.”
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Questions people ask
Is James Kevin Broad a registered financial adviser?
Yes. James Kevin Broad is listed as a current financial adviser on ASIC's Financial Advisers Register under adviser number 000299490.
Which licensee does James Kevin Broad work under?
Aware Financial Services Australia Limited, Australian financial services licence 238430.
What can James Kevin Broad give advice on?
The register lists these advice areas: superannuation; securities; managed investment schemes; life risk insurance; life investment products; deposit and payment products; government debentures, stocks and bonds. It also records this restriction: "Authorised to provide advice on securities as an asset class (not individual stocks). One off licensee approval is required for all products which are not listed on the approved product list."