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 |
|---|---|---|
| Daniel Wen Young Lum | 2003 | 1999 - Bachelor of Business - - University of Technology ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2011 - Certified Financial Planner - Professional Designations - FPA |
| Keith HO Yin Tse | 2003 | 2005 - Commerce - Bachelor Degree (AQF 7) - UNSW ~ 2008 - Dipola of Financial Services - - Kaplan ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2017 - Certified Financial Planner - Professional Designations - FPA |