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; and
superannuation; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| John Charles Reid | 1995 | Bachelor of Business Studies - RMIT ~ Self Managed Superannuation Funds - Kaplan Professional |
| Robert James Reid | 2018 | Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Rosanne Louella Joyce | 2006 | Diploma of Financial Services (Financial Planning) - Tribeca ~ Investment Planning and Estate Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ SMSF Specialist Adviser - SMSFA ~ Taxation Planning - Kaplan Professional |
| Sigrid Trajer | 2006 | Advanced Diploma - Financial Planning - Kaplan Professional Education ~ Diploma - Financial Planning - Tribeca Learning ~ Graduate Diploma of Financial Planning - Kaplan Professional Education |
| Steven Kwok | 2010 | Bachelor of Commerce - La Trobe University ~ Diploma of Financial Services - Mentor Education Group ~ Graduate Diploma ICAA - ICAA ~ Self Managed Superannuation Funds - Mentor Education Group |
| Tuan Van Hoang | 2006 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Accounting - The Victorian Business College ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan |