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;
standard margin lending facility; 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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Sekou Seasay | 2000 | 1999 - Bachelor of Business Administrationh - Bachelor Honours Degree (AQF 8) - IIUM Malaysia ~ 2000 - Gradudate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute of Australia, Now KAPLAN ~ 2002 - Certified Financial Planner Accreditation - Professional Designations - Financial Planning Association of Australia ~ 2006 - SMSF Specialist Accreditation - Graduate Certificate (AQF 8) - Financial Essentials ~ 2010 - Chartered Tax Adviser - Professional Designations - Tax Institute of Australia ~ 2010 - Graduate Diploma in Advanced Tax Law (includes SMSF Law and Taxation) - Graduate Diploma (AQF 8) - UNSW ~ 2010 - Graduate Diploma of Advanced Tax Law - Graduate Diploma (AQF 8) - UNSW ~ 2014 - FNS50311 Diploma of Finance & Mortgage Broking Management - Diploma (AQF 5) - KAPLAN ~ 2017 - FNSTPB503 Contract and Consumer Law - Bridging Course - Regulation & Legal Obligations - TAFE NSW ~ 2017 - FNSTPB504 Corporations & Trust Law - Bridging Course - Regulation & Legal Obligations - TAFE NSW ~ 2017 - FNSTPB505 Property Law - Bridging Course - Regulation & Legal Obligations - TAFE NSW ~ 2017 - Masters of Financial Analysis (Accounting) - Masters Degree (AQF 9) - UNSW ~ 2021 - FASEA Section 921B Financial Advisers Exam - Bridging Course - Regulation & Legal Obligations - FASEA |
| Stephen Mandigora | 1998 | 1992 - Bachelor of Agricultural Economics - Bachelor Honours Degree (AQF 8) - University of Zimbabwe ~ 1994 - Gradualte Diploma in Agricultural Economics - Graduate Diploma (AQF 8) - University of New England ~ 1996 - Master of Economics - Masters Degree (AQF 9) - University of New England ~ 2001 - Graduate Diploma in Applied Finance & Investment - Graduate Diploma (AQF 8) - Finsia ~ 2005 - Certified Financial Planner Program - Professional Designations - Financial Planning Association of Australia ~ 2009 - SMSF Adviser Education Program - Diploma (AQF 5) - Securitor ~ 2010 - Certified Investment Management Analyst - Professional Designations - Investment Management Consultants Association ~ 2021 - Financial Adviser s921B Exam - Bridging Course - Ethics - FASEA |