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 clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| David Geoffrey Melville | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Commerce (Applied Finance) - University of Queensland |
| Liam Roderick Ferguson | 2011 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Commerce - University of Queensland ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Martin Ashley Silec | 2010 | Bachelor of Business - Queensland University of Technology ~ Certified Financial Planner - Financial Planning Association of Australia ~ Chartered Accountant - The Institute of Chartered Accountants in Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan |
| Qian Chen | 2018 | Bachelor of Economics (Finance) - Sun Yet-San University, Guangzhou, China ~ Diploma of Financial Planning FNS50615 - KAPLAN ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Master of Commerce (Applied Finance and Professional Accounting) - University of Queensland |
| Timothy James Ferguson | 1999 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Education - Queensland University of Technology ~ Graduate Diploma of Financial Planning - Kaplan |