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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Chao Hong LU | 2006 | 2003 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2005 - Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2006 - Bachelor of Science - Bachelor Degree (AQF 7) - University Technology Sydney ~ 2011 - Caverndish & ICFS Specialist SMSF Course - Certificate (AQF 1-4) - University of Adelaide ~ 2020 - Regulation of Australian Financial Services - Certificate (AQF 1-4) - Financial Education Professionals ~ 2024 - Financial Adviser Exam - Professional Designations - ACER |
| Martin Javernig | 2002 | 2002 - Superannuation and Retirement Planning - - Integratec ~ 2010 - ASX Securities - - Kaplan ~ 2013 - Self Managed Super Fund Course - - Kaplan ~ 2014 - Diploma in Financial Markets - - Securities Institute ~ 2014 - Diploma of Finance & Mortgage Broking Management - - Institute of Strategic Management |
| Nathan Christian Mccullum | 2000 | 1999 - Risk Management - - FPA ~ 2000 - Managed Investments - - FPA ~ 2000 - Superannuation and Retirement Planning - - FPA ~ 2002 - Foundation Diploma of Financial Planning - - FPA ~ 2005 - Self Managed Super Fund Course - - Australian Executor Trustees |