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 | 1996 - Bachelor of Business - - Curtin University of Technology ~ 2000 - Diploma of Financial Planning - - Deakin University ~ 2013 - SMSF Specialist Advisor - - SPAA ~ 2015 - Wealth Mgmt Symposium - - CIE ~ 2019 - Ethics and Professionalism Financial Advice - Bridging Course - Ethics - Kaplan |
| David Geoffrey Page | 2004 | 2002 - Diploma of Financial Planning - - Deakin University ~ 2006 - Certified Financial Planner - - Deakin University ~ 2009 - Graduate Certificate in Commerce - - Charles Sturt University ~ 2013 - Master of Business Administration (Finance) - - Charles Sturt University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Rowena Mary Thiele | 2011 | 1994 - Batchelor of Business Accountancy - - RMIT ~ 1999 - Post Graduate CPA - - CPA Australia ~ 2013 - Self-Managed Super Funds - - Kaplan Professional Education ~ 2019 - Ethics and Professionalism in financial Advice - Bridging Course - Ethics - Kaplan ~ 2019 - Grad Dip Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Scott Michael Pantlin | 2016 | 2011 - Bachelor of Commerce (Finance, Financial Planning and Commercial Law) - - Deakin University ~ 2015 - Dipolma of Financial Planning - - Kaplan Professional |
| Stephanie Stacey | 2022 | 2018 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - RMIT ~ 2020 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT |
| Stephen James Cleary | 2024 | 2010 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2011 - ASIC Certificate III - Certificate (AQF 1-4) - Kaplan Higher Education Pty Ltd ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Ltd ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Ltd |
| Wendy Jane Wallace | 2007 | 1997 - Bachelor of Arts (Accountancy) - - London Guildhall University ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2014 - Tax financial Adviser - - Tax Practitioners Board ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |