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 |
|---|---|---|
| Khai Tuan Phan | 2003 | 2005 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of New South Wales ~ 2005 - Bachelor of Laws - Bachelor Degree (AQF 7) - University of New South Wales ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2025 - Commercial Law - Other - Kaplan Higher Education ~ 2025 - Tax for financial advisers - Other - Kaplan Higher Education |
| Wenjie Fang | 2018 | 2015 - Master of Finance - Masters Degree (AQF 9) - The University of Melbourne ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2020 - FASEA Financial Adviser Exam - Other - Financial Adviser Standards and Ethics Authority ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2024 - Commercial Law - Other - Kaplan Higher Education Pty Limited |