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 |
|---|---|---|
| Brian Castieau | 2000 | 1984 - Bachelor of Arts - Bachelor Degree (AQF 7) - The University of Western Australia ~ 1985 - Diploma in Education - Diploma (AQF 5) - The University of Western Australia ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2004 - Certified Financial Planner - Bachelor Degree (AQF 7) - Financial Planning Association of Australiia ~ 2016 - SMSF Specialist Advisor - Bachelor Degree (AQF 7) - SMSF Association ~ 2018 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - AAMC Training Group ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Financial Advice Regulation (Intensive) - Bridging Course - Regulation & Legal Obligations - Deakin University |
| Jemma Armstrong | 2012 | 2012 - Diploma of Financial Planning - Diploma (AQF 5) - AAMC Training Group ~ 2014 - Advice in Superannuation - Tier 1 (DFS 5) - Certificate (AQF 1-4) - AAMC Training Group ~ 2016 - Advanced Diploma Financial Planning - Advanced Diploma (AQF 6) - AAMC Training Group ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Rick Andrew Houden | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - PS146 Training Australia ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - RG146 Training Australia ~ 2013 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |