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;
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;
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 |
|---|---|---|
| Benny Wong | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Science - University of NSW ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Self Managed Super Fund Course - Kaplan |
| Johnny LY | 2010 | Advanced Diploma of Financial Services - Pinnacle Financial Services Academy ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services - Mentor Education Group ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Commerce - Macquarie University |
| Kane Kareign Duong | 2006 | Certified Financial Planner - FPA ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Master of Commerce Financial Planning - University of Western Australia ~ Securities - kaplan ~ Self Managed Super Fund Course - Kaplan |