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 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor of Business (Accountancy) and Bachelor of Business (Financial Planning) - RMIT ~ Certificate IV in Finance and Mortgage Broking - Kaplan ~ SMSF Regulations and Taxation - Kaplan |
Jennifer Ann Brown | 1992 | ASX Securities - Finsia ~ Certified Financial Planner - FPA ~ Fellow Charter Financial Practitioner - Mentor Group ~ Graduate Diploma of Financial Planning - Kaplan ~ Self Managed Super Fund Course - SPAA |
Kaitlin Sarah Mifsud | 0 | Accredited Listed Product Adviser Program - Kaplan ~ Business (Accounting) - RMIT ~ Business (Financial Planning) - RMIT |
Peter Edward Folk | 2018 | ASX Direct Equities Accreditation - Kaplan Professional ~ Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Business - La Trobe University ~ Certificate IV in Finance & Mortgage Broking - Kaplan Professional ~ SMSF Accreditation - Kaplan Professional |
Warren Lindsay Hanna | 2007 | ASX Securities - Kaplan ~ Bachelor of Business (Financial Planning) - RMIT ~ Margin Lending - Kaplan ~ Self Managed Super Fund Course - Kaplan |