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;
standard margin lending facility; and
superannuation;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
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
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| James Alistair Malkin | 2018 | Bachelor of Commerce - University of Melbourne ~ Chartered Accountant - Institute of Chartered Accountants of Australia ~ Tax Excellence Program Foundations - Ernst & Young |
| Natalie Elizabeth Eden | 2000 | Bachelor of Business (Financial Planning) with Distinction - Royal Melbourne Institute of Technology ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Simon Paul Devlin | 2005 | Bachelor of Business (Financial Planning) - RMIT ~ Certified Financial Planner - FPA |
| Xiao Jie Wang | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of Business Marketing - Swinburne University ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan ~ TASA & TPB Code of Professional Conduct - Kaplan Professional Education |