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 | Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Business - University of Newcastle ~ Cavendish & ICFS Specialist SMSF Course - The University of Adelaide ~ Diploma of Financial Markets - Securities Institute of Australia ~ Graduate Diploma of Applied Finance - Kaplan Professional |
Kenneth John Bloomfield | 2006 | Bachelor of Commerce - University of WA ~ Certified Financial Planner - Financial Planning Association |
Mario Gamboa | 2018 | Bachelor of Business Finance (Major), Economics, Specialist Country Studies (sub Majors) - University of Technology, Sydney ~ Bachelor of Science (Honours) - Psychology - The University of Sydney ~ Cavendish & ICFS Specialist SMSF Course - The University of Adelaide ~ Graduate Diploma in Psychology - The University of Sydney ~ Master of Arts in International Studies - University of Technology, Sydney & Universite Lumiere Lyon 2 |