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;
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;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
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 excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
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 including:
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; 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 |
|---|---|---|
| Andrew Michael Lim | 2014 | 2008 - Bachelor of Commerce Applied Finance (Planning) - - University of Wollongong |
| Damian Leyden Reid | 2018 | 2014 - Bachelor of Commerce Accounting & Financial Planning - Bachelor Degree (AQF 7) - Griffith University ~ 2024 - Managed Investments (Tier 1) - Other - Kaplan ~ 2025 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Damien Fon Leong | 2006 | 2001 - Bachelor of Arts - Bachelor Degree (AQF 7) - The University of Queensland ~ 2011 - Advanced Diploma of Financial Servies (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2012 - ASX Accredited Listed Products Adviser (ALPA) Program - Certificate (AQF 1-4) - Kaplan Professional ~ 2012 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan Professional ~ 2018 - Certified Financial Planner (CFP) Certification Program - - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Luke James Andersen | 2011 | 2003 - Bachelor of Business Management - Bachelor Degree (AQF 7) - QUT ~ 2007 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2011 - Margin Lending & Geared Investments - Other - Kaplan ~ 2013 - SMSF - Other - Pinnacle ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |