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 |
|---|---|---|
| Daryl Roger La'brooy | 1998 | 1994 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA ~ 2022 - MA1769 Ethics for Financial Services - Bridging Course - Ethics - Deakin University |
| Steven LY | 2014 | 2012 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Investment Banking Institute (IBI) ~ 2015 - Advanced Diploma of Financial Services (SMSF) - Advanced Diploma (AQF 6) - Integrity Education Group ~ 2022 - MAI769 Ethics for Financial Services - Bridging Course - Ethics - Deakin University ~ 2025 - FPC006 Taxation for Financial Planning - Other - Kaplan Professional |