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;
derivatives limited to:
old law securities options contracts and warrants;
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;
derivatives limited to:
old law securities options contracts and warrants;
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 clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Daniel Frank Santopietro | 2023 | 2020 - Bachelor of Business (Accountancy) and Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT ~ 2022 - SMSF Regulations and Taxation - Graduate Certificate (AQF 8) - Kaplan ~ 2023 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2023 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan |
| Jennifer Ann Brown | 1992 | 2000 - Certified Financial Planner - - FPA ~ 2005 - Self Managed Super Fund Course - - SPAA ~ 2007 - ASX Securities - - Finsia ~ 2012 - Fellow Charter Financial Practitioner - - Mentor Group ~ 2024 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Kaitlin Sarah Mifsud | 2024 | 2021 - Business (Accounting) - Bachelor Degree (AQF 7) - RMIT ~ 2021 - Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT ~ 2023 - Accredited Listed Product Adviser Program - Certificate (AQF 1-4) - Kaplan ~ 2024 - Cert IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan ~ 2024 - SMSF Regulations and Taxation - Certificate (AQF 1-4) - Kaplan |
| Peter Edward Folk | 2018 | 2011 - Bachelor of Business - - La Trobe University ~ 2013 - SMSF Accreditation - - Kaplan Professional ~ 2016 - ASX Direct Equities Accreditation - - Kaplan Professional ~ 2017 - Accredited Aged Care Professional - - Aged Care Steps ~ 2021 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional |
| Warren Lindsay Hanna | 2007 | 2005 - Bachelor of Business (Financial Planning) - - RMIT ~ 2011 - ASX Securities - - Kaplan ~ 2011 - Margin Lending - - Kaplan ~ 2011 - Self Managed Super Fund Course - - Kaplan |