Catalpa Pty ltd

AFS License Number
530665
Name
Catalpa Pty ltd
ABN/ACN/ARBN
57648557340
Licensee issued
Aug. 2, 2021
Address
Tamworth, 2340, NSW

Licence conditions

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; 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; and
superannuation;
to retail and wholesale clients.

Location

Advisers

Name First provided advice Qualification and trainings
 Christopher David Keating 2011 2010 - Bachelor of Finance - Bachelor Degree (AQF 7) - University of Newcastle ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional Education
 Daniel Crump 2005 2002 - Bachelor of Business (Finance/Legal Studies) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2006 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University/FPA ~ 2015 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA)
 Edward Mendigorin 2006 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education Pty Ltd ~ 2008 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Macquarie University ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Mentor Education Pty Ltd
 James Douglas Mcmaster 2004 2000 - Bachelor of Financial Adminsitration - - University New England ~ 2010 - Certified Financial Planner - - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan
 Michael Richard Bowman 1999 1993 - Bachelor of Business - - UNE/OAC ~ 2003 - Diploma of Financial Planning - - Financial Planning Association ~ 2005 - CFP - - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan
 Peter Lillicrap 1999 1993 - Bachelor of Business - Bachelor Degree (AQF 7) - University of New England ~ 1999 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University/FPA ~ 2000 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA)
 Rickie Darrell Latimore 2010 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2014 - Graduate Certificate in Commerce(Financial Planning) - - University of Western Sydney ~ 2021 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2021 - Graduate Diploma of Finance - Graduate Diploma (AQF 8) - Charles Sturt University ~ 2021 - Self Managed Superannuation Funds - Other - Kaplan Professional