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;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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 |
|---|---|---|
| Carla Michelle Piggott | 2011 | 2008 - Bachelor of Commerce (Property & Finance) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2011 - Master of Financial Planning - Masters Degree (AQF 9) - Curtin University of Technology ~ 2015 - SMSF Specialist Advisor - - Self Managed Super Fund Association ~ 2020 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Carlo Rigoli | 2010 | 2010 - Bachelor of Commerce (Financial Planning Major) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2016 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Lee Bradley Martyn | 1988 | 1989 - Bachelor of Business Degree (Finance, Economics & Accounting) - - Curtin University of Technology ~ 1991 - Graduate Diploma in Applied Finance & Investment - - Financial Services Institute of Australasia ~ 1993 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2011 - SMSF Specialist Advisor - - Self Managed Superannuation Fund Association ~ 2015 - Graduate of Australian Institute of Company Directors - - Australian Institute of Company Directors |
| Peter Austen Chisholm Eastman | 2006 | 2002 - Bachelor of Commerce (Double Major Accounting & Finance) - - Curtin University of Technology ~ 2006 - Master of Financial Planning (Distinction) - - Curtin University of Technology ~ 2011 - SMSF Specialist Advisor - - Self Managed Superannuation Fund Association ~ 2013 - Chartered Tax Adviser - - Tax Institute of Australia |
| Rory Martin O'shaughnessy | 2018 | 2016 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2020 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Scott Douglas Stanley | 1993 | 1996 - Bachelor of Business - - Edith Cowan University ~ 2002 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2010 - SMSF Specialist Advisor - - SMSF Association |