Financial Adviser Profile
Overview
Arthur Roe has been a Certified Financial Planner® for the past 20 years. Arthur
has in excess of 40 years’ experience in providing specialist taxation and
financial planning advice to a broad range of clients from public companies,
medium to large private companies, superannuation funds, high net worth
individuals and smaller professional practices.
Prior to opening his own firm from July 2000, Arthur was the senior taxation
consulting partner at PKF for 17 years, 13 of which were at partnership level.
Arthur Roe is a Sub-Authorised Representative of ARA Financial Planning
Services Pty Ltd, Corporate Authorised Representative No. 1277898.
Authorised Representative No. 246127.
Qualifications
Arthur Roe holds a Bachelor of Business in Accounting, a Graduate Diploma in
Taxation Law, is a Certified Financial Planner® and meets the competency
requirements under ASIC’s Regulatory Guide RG 146.
Professional Memberships
Arthur Roe is a member of the Institute Chartered Accountants and the
Financial planning Association of Australia (FPA) and abides by their respective
codes of professional conduct and ethics.
Authorisations
Arthur Roe is authorised to provide advice and deal in the following financial
products:
▪ Life Products including Investment Life Insurance Products & Life Risk
Insurance Products;
▪ Interests in Managed Investment Schemes including Investor Directed
Portfolio Services;
▪ Deposit & Payment Products;
▪ Retirement Savings Accounts (“RSA”) products;
▪ Debentures, Stocks or Bonds issued or proposed to be issued by a
Government;
▪ Securities;
▪ Standard Margin Lending Facility;
▪ Superannuation; and
▪ Self-Managed Superannuation Funds.
Arthur Roe
Managing Director
ARA Financial Planning Services
Level 1, 766 Elizabeth Street
Melbourne Victoria
3000
03 9349 4434
ArthurRoe@ar-associates.com.au
www.ar-associates.com.au
Financial Adviser Profile
This Adviser Profile has been authorised for distribution by Capstone
Financial Planning Pty Ltd. AFSL No. 223135. This Adviser Profile forms part of
the Financial Services Guide and or Credit Guide and is to be read in
conjunction with the Financial Services Guide provided document(s).
Level 14, 461 Bourke Street
Melbourne Victoria 3000
1300 306 900
www.capstonefp.com.au
ARA Financial Planning Services Advice Fees and Charges
Arthur Roe will be paid by Financial Planning Advice Fees as described in the Financial Services Guide. The amount of the benefit
and how it is calculated will be advised to you before work commences.
Arthur’s fee for the preparation of a Statement of Advice and other Advice documents will vary depending on the complexity
involved and the time taken. You will be notified of the costs involved prior to the commencement of any work.
Arthur provides the option of ongoing reporting and advisory services. This fee is calculated and will be advised to you should
you require on-going services following a presentation of a Statement of Advice. You will be notified of the cost involved prior to
the commencement of any ongoing services.
ARA Financial Planning Services pays a fixed licensing fee to Capstone Financial Planning Pty Ltd and will receive all revenue
earned from the financial services provided to you. Arthur is the Managing Director of ARA Financial Planning Services and will
receive a salary/benefit from this company.
Other Benefits Arthur Roe May Receive
From time to time Arthur Roe may be invited to social or sporting events and receive the occasional gift such as a bottle of wine
or hamper on special occasions. These non-cash benefits will have a value of less than $300. A register listing the details of any
non-cash benefits between $100 and $300 is maintained. These invitations and gifts do not influence the advice provided to you.
If you would like more information you can request a copy of the register.
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