This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
managed investment schemes limited to MDA services to retail and wholesale clients;
margin lending facilities limited to standard facilities to retail and wholesale clients;
miscellaneous financial investment products limited to MDA services to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to issue, apply for, acquire, vary or dispose of a financial product limited to:
managed investment schemes limited to MDA services to retail and wholesale clients; and
miscellaneous financial investment products limited to MDA services to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
managed investment schemes limited to MDA services to retail and wholesale clients;
margin lending facilities limited to standard facilities to retail and wholesale clients;
miscellaneous financial investment products limited to MDA services to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Benjamin Stafford Whitwell | 2000 | 2002 - Diploma of Financial Planning - - Deakin University ~ 2004 - Certified Financial Planner - - Deakin University ~ 2010 - Margin Lending - - Kaplan Professional Education ~ 2014 - ASX Listed Product Accreditation Course - - LPAC Online |
| Fanoula Stathatos | 2007 | 1995 - Bachelor of Business (Accounting) - - Royal Melbourne Institute of Technology ~ 2000 - Fellow of Certified Practising Accountant - - Australian Society of Certified Practising Accountants ~ 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2003 - Professional Accreditation of Specialist in Financial Planning - - CPA Australia ~ 2012 - Certificate IV in Finance and Mortgage Broking - - NSW TAFE |
| Karamdeep Singh Satwant Singh | 2016 | 2011 - Bachelor of Economics - - Australian National University ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan |
| Katharine Rachelle Piddington | 2008 | 2007 - University Certificate in Business - - Charles Sturt University (CSU) ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Bachelor of Business (Finance/Financial Planning) - - Charles Sturt University (CSU) |
| Kim Baxter | 2018 | 2015 - Bachelor of Commerce - - Canberra University ~ 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Margin Lending Accreditation - - DeakinCo ~ 2018 - Self-Managed Superannuation Funds - - Kaplan Professional |