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 |
|---|---|---|
| Alexander Sterligov | 2018 | 2018 - Bachelor of Actuarial Studies - - University of New South Wales ~ 2018 - Bachelor of Commerce (Finance) - - University of New South Wales ~ 2018 - Diploma of Financial Planning - - Kaplan Professional |
| Anthony Deryl Street | 2011 | 1992 - Master of Economics - - Macquarie University ~ 1996 - Fellow of the Institute of Actuaries of Australia - - Institute of Actuaries ~ 1998 - Fellow of the Financial Services Institute of Australia - - FINSIA ~ 2011 - Diploma of Financial Services (Financial Planning) - - KAPLAN |
| James Xing-yi Chen | 2014 | 2009 - Master of Commerce - - Macquaire University ~ 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Mark David Berry | 2002 | 1987 - Bachelor of Economics - - Macquarie University ~ 1994 - Fellow of the Institute of Actuaries of Australia - Professional Designations - Institute of Actuaries ~ 2000 - Fellow of the Financial Services Institute of Australia - Professional Designations - FINSIA ~ 2011 - SMSF Specialist Advisor - - SPAA ~ 2012 - Chartered Tax Adviser - - Tax Institute of Australia |
| Nicole Maree Raffin | 2011 | 1995 - Bachelor of Economics - - Macquarie University ~ 2019 - Applied Tax Law - Graduate Diploma (AQF 8) - The Tax Institute |
| Penelope Margaret Butler | 2017 | 2002 - Bachelor of Commerce (Economics and Finance) - - The University of Sydney ~ 2002 - Bachelor of Engineering (Civil Engineering) Honours Class I - - The University of Sydney ~ 2008 - Fellow of the Institute of Actuaries of Australia - - Actuaries Institute ~ 2017 - Diploma of Financial Planning - - Kaplan |