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 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;
deposit products other than 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 and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Amber Megan Mcghie | 2018 | DFP5v3 Tax for Financial Advising - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ TASACLv1 Commercial Law - Kaplan Professional |
| Anthony Trovato | 2004 | ASX Accredited Listed Products Adviser Program - Kaplan ~ Bachelor of Business (Financial Management and Economics) - Curtin University ~ Certified Financial Planner - Financial Planning Association ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Fund Specialist - SMSF Professionals Association of Australia |
| Carolyn Roper | 1998 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Nigel Martin Graham Kingdon | 1987 | ASX Accredited Listed Product Adviser - Kaplan ~ Australian Certified Investment Planner - Australian Investment Planners Association ~ Diploma in Accounting - Fremantle Technical College ~ Margin Lending and Geared Investments - Kaplan ~ Senior Associate - Financial Planning Association |
| Paul John Peos | 1995 | ASX Accredited Listed Product Adviser - Kaplan ~ Bachelor of Economics - University of Western Australia ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - Financial Services Institute of Australasia ~ Graduate Diploma in Applied Finance and Investment - Securities Institute ~ Margin Lending and Geared Investments - Kaplan |
| Pierre Schinazi | 1987 | ASX Accredited Listed Product Adviser Program - Kaplan Professional ~ Australian Certified Investment Planner - Australian Investment Planners Association ~ Bachelor of Business - Western Australian Institute of Technology ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - RMIT University |
| Renee Michelle Diver | 2014 | AFA Fellow Chartered Financial Practitioner (FChFP) - Kaplan Professional ~ Advanced Diploma of Financial Planning (FNS60410) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) FNS50804 - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning (GDFP19) - Kaplan Professional |
| Stuart Gray | 2007 | ASX Accrediation for Derivatives - Kaplan ~ Advanced Diploma in Financial Planning - Kaplan ~ Master of Applied Finance - Kaplan |