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;
general insurance 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 excluding 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;
standard margin lending facility; and
superannuation;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
interests in managed investment schemes limited to:
own managed investment scheme only;
MDA services; and
securities;
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;
derivatives;
general insurance 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 excluding 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;
standard margin lending facility; and
superannuation; and
underwriting:
an issue of securities; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andy Kong | 2014 | 2006 - Bachelor of Commerce - - Murdoch ~ 2014 - RG146 - - Kaplan |
| Jason Gavin Davis | 2003 | 2003 - Financial Services - Diploma (AQF 5) - AFMA ~ 2009 - Applied Finance - Masters Degree (AQF 9) - Macquarie University |
| John Andre Day | 2000 | 2009 - ASX RESPONSIBLE EXECUTIVE - - KAPLAN ~ 2010 - MARGIN LENDING AND GEARED INVESTEMENTS - - KAPLAN PROFESSIONAL ~ 2010 - RG146 - - MENTOR EDUCATION GROUP ~ 2011 - ASX ACCREDITED DERIVATIVES ADVISER LEVEL 1 - - KAPLAN PROFESSIONAL ~ 2021 - Financial Advisers Exam - Other - FASEA Standards Authority |
| Ryan Hart | 2018 | 2014 - Bachelor of Commerce - - Curtin University ~ 2017 - Diploma Financial Planning - - KAPLAN |