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 |
|---|---|---|
| Aaron Phuong | 2022 | 2021 - Master of Financial Planning - Masters Degree (AQF 9) - UNSW |
| Abraham Aguilan | 2016 | 2013 - SMSF Statement of Attainment - - Kaplan ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan ~ 2016 - Self Managed Superannuation Funds - Other - Kaplan ~ 2017 - Accredited Listed Product Adviser Program - Other - Kaplan ~ 2020 - Tier 1 - Margin Lending - Personal Advice - Other - Kaplan |
| Dhiraj Karmacharya | 2018 | 2006 - Bachelor of Arts - Bachelor Degree (AQF 7) - Gustavus Adolphus College (USA) ~ 2013 - Diploma of Financial Planning - - Monarch ~ 2013 - Master of Business Administration - Masters Degree (AQF 9) - Concordia University (USA) ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan ~ 2023 - SMSF Regulations and Taxation - Other - Kaplan Professional |
| James Parame | 2011 | 2013 - Margin Lending - - Kaplan ~ 2014 - Self Managed Superannuation Funds - - IIT ~ 2015 - CFP Certification - - FPA |