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 |
---|---|---|
Claire Williams | 1997 | Bachelor of Business - Curtin University of Technology ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism Financial Advice - Kaplan ~ SMSF Specialist Advisor - SPAA ~ Wealth Mgmt Symposium - CIE |
David Geoffrey Page | 2004 | Certified Financial Planner - Deakin University ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Certificate in Commerce - Charles Sturt University ~ Master of Business Administration (Finance) - Charles Sturt University |
Rowena Mary Thiele | 2011 | Batchelor of Business Accountancy - RMIT ~ Ethics and Professionalism in financial Advice - Kaplan ~ Grad Dip Financial Planning - Kaplan ~ Post Graduate CPA - CPA Australia ~ Self-Managed Super Funds - Kaplan Professional Education |
Scott Michael Pantlin | 2016 | Bachelor of Commerce (Finance, Financial Planning and Commercial Law) - Deakin University ~ Dipolma of Financial Planning - Kaplan Professional |
Stephanie Stacey | 2022 | Bachelor of Business (Accountancy) - RMIT ~ Bachelor of Business (Financial Planning) - RMIT |
Stephen James Cleary | 0 | ASIC Certificate III - Kaplan Higher Education Pty Ltd ~ Bachelor of Commerce - Monash University ~ Diploma of Financial Planning - Kaplan Higher Education Pty Ltd ~ Graduate Diploma of Financial Planning - Kaplan Higher Education Pty Ltd ~ Master of Financial Planning - Kaplan Higher Education Pty Ltd |
Wendy Jane Wallace | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Arts (Accountancy) - London Guildhall University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Self Managed Superannuation Funds - Kaplan Professional Education ~ Tax financial Adviser - Tax Practitioners Board |