This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
margin lending facilities limited to standard facilities to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
margin lending facilities limited to standard facilities to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Chih Leong Tang | 2016 | 2012 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The Australian National University ~ 2013 - Master of Financial Management - Masters Degree (AQF 9) - The Australian National University ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - IIT - International Institute of Technology ~ 2015 - RG146 Tier 1 Specialist Margin Lending Course - Other - IIT - International Institute of Technology ~ 2016 - Certified Financial Planner - Professional Designations - Financial Advice Association Australia ~ 2019 - ALPA - Other - Kaplan ~ 2021 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Mitesh Patel | 2013 | 2011 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The Australian National University ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology ~ 2013 - Margin Lending - Other - IIT ~ 2014 - Masters of Applied Finance - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited ~ 2019 - ALPA - Other - Kaplan Professional ~ 2021 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |