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;
derivatives;
foreign exchange contracts;
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;
interests in managed investment schemes limited to:
MDA 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;
derivatives;
foreign exchange contracts;
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Brett Andrew Gorman | 2004 | Graduate Diploma of Applied Finance and Investment - FINSIA |
| Cardy Man | 2016 | Advanced Diploma of Financial Planning - Kaplan ~ Advanced Diploma of Financial Planning - Kaplan ~ Ethics and professionalism in financial advice - Kaplan ~ Ethics and professionalism in financial advice - Kaplan ~ Graduate Certificate in Economics - University of Queensland ~ Graduate Certificate in Economics - University of Queensland ~ Master of Commerce (Professional Accounting) - University of Queensland ~ Master of Commerce (Professional Accounting) - University of Queensland |
| Daniel Wong | 2015 | Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan |
| George Tso Chih Wong | 2016 | Bachelor of Commerce (Honours) - University of Sydney ~ Bachelor of Commerce (Honours) - University of Sydney ~ Bachelor of Commerce (Honours) - University of Sydney ~ Certified Financial Planner - Financial Planning Association of Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Core 1 Securities and Managed Investments Accreditation - Stockbrokers Association of Australia ~ Core 1 Securities and Managed Investments Accreditation - Stockbrokers Association of Australia ~ Core 1 Securities and Managed Investments Accreditation - Stockbrokers Association of Australia ~ Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Rene Ferris | 2010 | Derivatives Module - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Foreign Exchange module - Kaplan |