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 excluding financial product advice in relation to the establishment of a self-managed superannuation fund (as self -managed superannuation fund is defined in section 761A of the Corporations Act 2001 and which has the same meaning as in sections 17A and 17B of the Superannuation Industry (Supervision) Act 1993)).; 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; excluding dealing in a financial product in relation to the establishment of a self-managed superannuation fund (as self -managed superannuation fund is defined in section 761A of the Corporations Act 2001 and which has the same meaning as in sections 17A and 17B of the Superannuation Industry (Supervision) Act 1993)).; and
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Abu Azad | 2007 | 2005 - Master of Business (Professional Accounting) - - Victoria University of Technology ~ 2008 - Diploma of Financial Services (Financial Planning) - - Finsia |
| Guhan Punniakotti | 2013 | 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2012 - Advance Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2017 - CFP 4 - Investment Strategies - - FPA |