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 | 2007 - Bachelor of Science - - University of NSW ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2014 - Self Managed Super Fund Course - - Kaplan ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Johnny LY | 2010 | 2006 - Master of Commerce - - Macquarie University ~ 2010 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2010 - Diploma of Financial Services - - Mentor Education Group ~ 2011 - Advanced Diploma of Financial Services - - Pinnacle Financial Services Academy ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Kane Kareign Duong | 2006 | 2012 - Master of Commerce Financial Planning - - University of Western Australia ~ 2012 - Securities - - kaplan ~ 2012 - Self Managed Super Fund Course - - Kaplan ~ 2013 - Certified Financial Planner - - FPA ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |