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 | 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2018 - DFP5v3 Tax for Financial Advising - - Kaplan Professional ~ 2018 - TASACLv1 Commercial Law - - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Anthony Trovato | 2004 | 1994 - Bachelor of Business (Financial Management and Economics) - Bachelor Degree (AQF 7) - Curtin University ~ 2003 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2009 - ASX Accredited Listed Products Adviser Program - - Kaplan ~ 2012 - Self Managed Superannuation Fund Specialist - Professional Designations - SMSF Professionals Association of Australia ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Carolyn Roper | 1998 | 1998 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) |
| Paul John Peos | 1995 | 1990 - Bachelor of Economics - - University of Western Australia ~ 1993 - Graduate Diploma in Applied Finance and Investment - - Securities Institute ~ 2006 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - Financial Services Institute of Australasia ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2011 - ASX Accredited Listed Product Adviser - - Kaplan |
| Pierre Schinazi | 1987 | 1986 - Bachelor of Business - - Western Australian Institute of Technology ~ 1996 - Diploma of Financial Planning - - RMIT University ~ 1998 - Australian Certified Investment Planner - - Australian Investment Planners Association ~ 1998 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2015 - ASX Accredited Listed Product Adviser Program - - Kaplan Professional |
| Renee Michelle Diver | 2014 | 2010 - Diploma of Financial Services (Financial Planning) FNS50804 - - Kaplan Professional ~ 2014 - Advanced Diploma of Financial Planning (FNS60410) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - AFA Fellow Chartered Financial Practitioner (FChFP) - Professional Designations - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning (GDFP19) - Graduate Diploma (AQF 8) - Kaplan Professional |
| Stuart Gray | 2007 | 2005 - ASX Accrediation for Derivatives - - Kaplan ~ 2006 - Advanced Diploma in Financial Planning - - Kaplan ~ 2013 - Master of Applied Finance - - Kaplan |