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;
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; 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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Jeffrey Chu | 2018 | 1999 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Newcastle ~ 2005 - Diploma of Financial Markets - Diploma (AQF 5) - Securities Institute of Australia ~ 2012 - Cavendish & ICFS Specialist SMSF Course - Certificate (AQF 1-4) - The University of Adelaide ~ 2016 - Accredited Aged Care Professional - Certificate (AQF 1-4) - Aged Care Steps ~ 2020 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Professional |
| Kenneth John Bloomfield | 2006 | 1987 - Bachelor of Commerce - - University of WA ~ 2001 - Certified Financial Planner - - Financial Planning Association |
| Mario Gamboa | 2018 | 2004 - Bachelor of Business Finance (Major), Economics, Specialist Country Studies (sub Majors) - Bachelor Degree (AQF 7) - University of Technology, Sydney ~ 2008 - Master of Arts in International Studies - Masters Degree (AQF 9) - University of Technology, Sydney & Universite Lumiere Lyon 2 ~ 2012 - Cavendish & ICFS Specialist SMSF Course - Certificate (AQF 1-4) - The University of Adelaide ~ 2015 - Graduate Diploma in Psychology - Bachelor Honours Degree (AQF 8) - The University of Sydney ~ 2019 - Bachelor of Science (Honours) - Psychology - Bachelor Honours Degree (AQF 8) - The University of Sydney |