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;
derivatives;
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;
derivatives;
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 |
|---|---|---|
| Caillie Carpenter | 2018 | 2018 - Diploma of Financial Planning - - Monarch Institute ~ 2020 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2022 - Graduate Certificate In Self Managed Super Funds - Graduate Certificate (AQF 8) - Kaplan Professional |
| Mark Talbot Grist | 2002 | 1987 - Bachelor of Science (Applied Mathematics & Physical & Inorganic Chemistry) - Bachelor Degree (AQF 7) - University of Western Australia ~ 1992 - Graduate Diploma in Business - Graduate Diploma (AQF 8) - Curtin University ~ 1997 - Master of Business Administration - Masters Degree (AQF 9) - Deakin University and The Association of Professional Engineers, Scientists and Managers, Australia ~ 2002 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Penny Josephine Slebos | 1995 | 2001 - Diploma Financial Planning - - Deakin University ~ 2006 - Self Managed Superannuation Funds - - Tribeca ~ 2010 - Certificate IV in Financial Services (Bookkeeping) - - Great Southern Institute of Technology ~ 2014 - Diploma of Accounting - - Great Southern Institute of Technology ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |