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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
superannuation; and
financial products limited to:
miscellaneous financial investment products; and
deal in a financial product by:
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product in respect of the following classes of financial products:
derivatives;
foreign exchange contracts;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
superannuation; and
financial products limited to:
miscellaneous financial investment products; and
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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
superannuation; and
financial products limited to:
miscellaneous financial investment products;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Ivy Lai | 2001 | 1998 - Bachelor of Commence - Bachelor Degree (AQF 7) - Curtin University of Technology (WA) ~ 2000 - SEATS Designated Trading Representative - - ASX ~ 2004 - Advanced Diploma Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association ~ 2006 - SMSF Core Principles PS 146 compliance in advising - SMSF - - Tribeca Learning (Australia) ~ 2009 - Certified Financial Planner; Units 4,2 and 1 - - CFP |
| Julia Louise Mccullagh | 2002 | 1997 - Bachelor of Commerce - - Sydney University ~ 2000 - Graduate Diploma in Financial Planning - - Securities Institute of Australia ~ 2001 - CA Program - - Institute of Chartered Accountants ~ 2018 - SuperCon - Other - University of Adelaide ~ 2023 - Ethics for Financial Planning - Bridging Course - Ethics - University of Technology Sydney |
| Stephen John Lambert | 2002 | 1983 - Bachelor of Economics - - University of Sydney ~ 1995 - Masters of Applied Finance - - Macquarie University Sydney ~ 2002 - Derivatives Accreditation (Level 1 & 2) - - ASX ~ 2007 - Certificate of Taxation - - ATO ~ 2012 - Chartered Financial Analyst (Level 1) - - CFA Institute |