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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Phil Patrick Tuazon | 2013 | 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2014 - RG146 Self-Managed Super Funds - - Kaplan Professional ~ 2016 - RG146 Securities & Direct, International Equities and Listed Income Securities (SFP) 2012 - - eAcademy ~ 2017 - Master of Financial Planning - - KAPLAN Professional ~ 2019 - Financial Adviser Exam - Other - FASEA |
| Thomas Clarke Evans | 0 | 2019 - Bachelor of Commerce Financial Planning - Bachelor Degree (AQF 7) - University of Wollongong ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2024 - Financial adviser exam - Other - FASEA ~ 2024 - Introduction to Self Managed Superannuation Funds - Other - Kaplan Professional |