Financial Adviser · NEWCASTLE WEST, NSW

James Kevin Broad

22 Years experience

Tax advice
authorised

ASIC Registered · ADV 000299490

Currently at

Sydney, NSW

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James Kevin Broad is a financial adviser based in Newcastle West, New South Wales, with 22 years of experience in the financial services industry since 2004. James is currently authorised under Aware Financial Services Australia Limited, operating through Aware Super Services. James holds authorisations to advise on superannuation, life insurance, life insurance investments and managed investments, as well as tax financial advice services (TFAS). James's qualifications include a Certified Financial Planner from Financial Planning Association of Australia (FPA). James is a member of Financial Advice Association of Australia (FAAA).

Authorised to Advise On

Tax Financial Advice Superannuation Life Insurance Life Insurance Investments Managed Investments Securities Deposit Products Government Bonds

Restrictions: 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.

Authorised to provide tax financial advice services

Qualifications and Training

2003

ACFI 3170 Taxation in Australia

The University of Newcastle

2003

Bachelor of Finance

The University of Newcastle

2005

LS251 Introduction to Business Law

The University of Newcastle

2007

Diploma of Financial Services (Financial Planning)

Tribeca

2007

Graduate Diploma in Financial Management

The University of New England

2009

Advanced Diploma of Financial Services (Financial Planning)

Kaplan Professional

2019

Certified Financial Planner

Financial Planning Association of Australia (FPA)

2024

FPC002B Ethics and Professionalism in Financial Advice

Ethics - Kaplan Professional

Registration History

Aware Financial Services Australia Limited

Dec 2019 - Present Current

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.

Aware Financial Services Australia Limited

Jun 2011 - Nov 2019 Ceased

Bridges Financial Services Pty Limited

Mar 2004 - Jun 2011 Ceased

Source: ASIC Financial Advisers Register