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 |
|---|---|---|
| Elizabeth Kathleen Bing | 2001 | Bachelor of Economics - LaTrobe University ~ Derivatives Accreditation Level 1 & 2 - ASX ~ Designated Trading Representative - ASX ~ Diploma of Financial Planning - Securities Institute of Australia ~ Graduate Diploma of Applied Finance & Investment - Securities Institute of Australia |
| Elvin Perin | 2006 | Associated Diploma in Business Studies (Finance) - University of Technology, Sydney ~ Diploma of Financial Planning - Tribeca |
| Huimin LI | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Commerce (Banking and Finance) - Griffith University |
| JI Wei | 2017 | FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Certificate in Applied Finance - Kaplan Professional ~ Graduate Certificate in Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Sage D'costa | 2017 | Bachelor of Commerce - Deakin University ~ Self Managed Superannuation Funds - Kaplan Professional |
| Veasna Michael Savy | 2007 | ASX Accredited Listed Product Adviser - Kaplan Professional Education ~ Bachelor of Commerce (Corporate Finance) - University of Adelaide ~ Certified Financial Planner - Financial Planning Association ~ Graduate Diploma of Financial Planning - FINSIA ~ SMSF Specialist Adviser - SMSF Association |
| Viet Thai Dao | 2018 | Advanced diploma in financial planning - Kaplan Professional ~ Bachelor of Commerce (Accounting and finance) - Australian National University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and professionalism in financial advice - Kaplan Professional |