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 |
|---|---|---|
| Deborah Whiting | 2003 | 1983 - Certified Practicing Accountant /CPA Financial Planning Specialist - - CPA ~ 1984 - Chartered Accountant / CA Financial Planning Specialist - - Institute of Chartered Accountants ~ 1987 - Registered Tax Agent - - Tax Practitioners Board ~ 2006 - RG 146 Compliant - - Finance Education Professionals ~ 2012 - SPAA Specialist Adviser - - SPAA |
| Lee Leng Sim | 2018 | 2006 - Bachelor of Commerce (Financial Accounting, Managerial Accounting, Corporate Finance) - - University of Western Australia ~ 2010 - CPA Australia Program - - CPA Australia ~ 2017 - Taxation - - Mentor Education ~ 2018 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2018 - Diploma of Financial Planning - - Mentor Education |