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 | Bachelor of Actuarial Studies - University of New South Wales ~ Bachelor of Commerce (Finance) - University of New South Wales ~ Diploma of Financial Planning - Kaplan Professional |
| Anthony Deryl Street | 2011 | Diploma of Financial Services (Financial Planning) - KAPLAN ~ Fellow of the Financial Services Institute of Australia - FINSIA ~ Fellow of the Institute of Actuaries of Australia - Institute of Actuaries ~ Master of Economics - Macquarie University |
| James Xing-yi Chen | 2014 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Commerce - Macquaire University |
| Mark David Berry | 2002 | Bachelor of Economics - Macquarie University ~ Chartered Tax Adviser - Tax Institute of Australia ~ Fellow of the Financial Services Institute of Australia - FINSIA ~ Fellow of the Institute of Actuaries of Australia - Institute of Actuaries ~ SMSF Specialist Advisor - SPAA |
| Nicole Maree Raffin | 2011 | Applied Tax Law - The Tax Institute ~ Bachelor of Economics - Macquarie University |
| Penelope Margaret Butler | 2017 | Bachelor of Commerce (Economics and Finance) - The University of Sydney ~ Bachelor of Engineering (Civil Engineering) Honours Class I - The University of Sydney ~ Diploma of Financial Planning - Kaplan ~ Fellow of the Institute of Actuaries of Australia - Actuaries Institute |
| Roland XU | 0 | Bachelor of Applied Finance and Actuarial Studies - Macquarie University ~ Diploma of Finance and Mortgage Broking - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |