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 |
|---|---|---|
| Emily Ugarkovic | 0 | 2017 - Bachelor of Commerce - Bachelor Honours Degree (AQF 8) - Notre Dame ~ 2022 - Grapduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Jessica Waller | 2012 | 2009 - Diploma of Financial Planning - - University of New South Wales ~ 2010 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of New South Wales ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Joel Xuereb | 2004 | 2004 - Diploma of Financial Planning - - Deakin University ~ 2006 - Graduate Diploma in Applied Finance and Investment - - Securities Institute of Australia ~ 2011 - Diploma in Financial Markets and Investment - - Securities Institute of Australia ~ 2011 - Self Managed Superannuation Fund (SMSF 1: Core Principles) - - Kaplan Professional Education ~ 2012 - Diploma in Australian Taxation Law - - The Taxation Institute Australia |
| Neelan Sornalingam | 2005 | 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2017 - Self Managed Superannuation Funds - - Kaplan Professional |
| Ung Quyen Quach | 2018 | 2004 - Bachelor of Business - - University of Technology, Sydney ~ 2006 - Self Managed Superannuation Fund Adviser Education Program - - Financial Essentials ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional (formerly Tribeca) ~ 2012 - Advance Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Margin Lending and Geared Investments - - Kaplan Professional |