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;
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;
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 |
|---|---|---|
| Carly JO Robertson | 2024 | 2017 - Securities & Managed Investment - Certificate (AQF 1-4) - Kaplan ~ 2019 - Bachelor of Business - Bachelor Degree (AQF 7) - Murdoch University ~ 2020 - Economic and Legal Context for Financial Planning - Professional Designations - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2021 - Tax and Commercial Law for Financial Planning - Professional Designations - Kaplan |
| Dieter Erich Tode | 2004 | 1998 - Bachelor of Applied Economics - - University of Canberra ~ 2004 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute of Australia |
| Lyndsay Rushforth | 2018 | 2012 - Bachelor of Business - Major in Finance and Accounting - - Edith Cowan University ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Michael Degtyar | 2017 | 2016 - Diploma Of Financial Planning - - Kaplan ~ 2016 - Securities and Managed Investments - - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Rowan Michael Stephens | 2022 | 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University ~ 2021 - FPE016 Self Managed Superannuation Funds - Other - Kaplan Professinal ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Travis Thomas Martin | 2005 | 2004 - Bachelor of Commerce - - Notre Dame University ~ 2004 - Bachelor of Laws - - Notre Dame University ~ 2006 - Advanced Diploma of Financial Services Financial Planning - - Tribeca ~ 2010 - SMSF - - Kaplan |