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 | 1996 - Bachelor of Economics - - LaTrobe University ~ 2002 - Designated Trading Representative - - ASX ~ 2004 - Graduate Diploma of Applied Finance & Investment - - Securities Institute of Australia ~ 2005 - Derivatives Accreditation Level 1 & 2 - - ASX ~ 2008 - Diploma of Financial Planning - - Securities Institute of Australia |
| Elvin Perin | 2006 | 1995 - Associated Diploma in Business Studies (Finance) - Other - University of Technology, Sydney ~ 2005 - Diploma of Financial Planning - - Tribeca |
| Huimin LI | 2018 | 2009 - Master of Commerce (Banking and Finance) - Masters Degree (AQF 9) - Griffith University ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| JI Wei | 2017 | 2016 - Graduate Certificate in Applied Finance - - Kaplan Professional ~ 2018 - Graduate Certificate in Financial Planning - - Kaplan Professional ~ 2018 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Sage D'costa | 2017 | 2017 - Bachelor of Commerce - - Deakin University ~ 2019 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| Timothy Archer | 2017 | 1998 - Bachelor of Applied Computing - Bachelor Degree (AQF 7) - University of Tasmania ~ 2009 - Diploma of Business (Frontline Management) - Diploma (AQF 5) - CSU Training ~ 2013 - Master of Business (Financial Planning) - Masters Degree (AQF 9) - Charles Sturt University ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Introduction to Self Managed Superannuation Funds - Other - Kaplan Professional |
| Veasna Michael Savy | 2007 | 2001 - Bachelor of Commerce (Corporate Finance) - - University of Adelaide ~ 2008 - Graduate Diploma of Financial Planning - - FINSIA ~ 2010 - ASX Accredited Listed Product Adviser - - Kaplan Professional Education ~ 2010 - Certified Financial Planner - - Financial Planning Association ~ 2011 - SMSF Specialist Adviser - - SMSF Association |
| Viet Thai Dao | 2018 | 2010 - Bachelor of Commerce (Accounting and finance) - Bachelor Honours Degree (AQF 8) - Australian National University ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Advanced diploma in financial planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2020 - Ethics and professionalism in financial advice - Bridging Course - Ethics - Kaplan Professional |