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 and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| 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 |
| Shane Michael Hay | 2015 | 2011 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Bond University ~ 2012 - Graduate Certificate in Commerce & Banking - - Griffith University ~ 2015 - Diploma in Financial Planning - - Kaplan |