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 | Advanced Diploma Financial Planning - Financial Planning Association ~ Bachelor of Commence - Curtin University of Technology (WA) ~ Certified Financial Planner; Units 4,2 and 1 - CFP ~ SEATS Designated Trading Representative - ASX ~ SMSF Core Principles PS 146 compliance in advising - SMSF - Tribeca Learning (Australia) |
| Julia Louise Mccullagh | 2002 | Bachelor of Commerce - Sydney University ~ CA Program - Institute of Chartered Accountants ~ Ethics for Financial Planning - University of Technology Sydney ~ Graduate Diploma in Financial Planning - Securities Institute of Australia ~ SuperCon - University of Adelaide |
| Stephen John Lambert | 2002 | Bachelor of Economics - University of Sydney ~ Certificate of Taxation - ATO ~ Chartered Financial Analyst (Level 1) - CFA Institute ~ Derivatives Accreditation (Level 1 & 2) - ASX ~ Masters of Applied Finance - Macquarie University Sydney |