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 |
|---|---|---|
| Eric Jiayin Chen | 2015 | 2009 - Bachelor of Business Administration with Bachelor of Commerce - Accounting - Bachelor Degree (AQF 7) - Macquarie University ~ 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2012 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2015 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - Kaplan Professional ~ 2017 - CFP Certification Program - Professional Designations - Financial Advice Association Australia ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Kam Chuen Yuen | 2008 | 2006 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - The University of Sydney ~ 2008 - Diplona of Financial Services (Financial Planning) - - Kaplan ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2015 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Yaotao Zeng | 2017 | 2011 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - The University of Sydney ~ 2012 - Diploma of Financial Planning - - Kaplan Professional ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2017 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2017 - CFP Certification Program - - Financial Planning Association of Australia ~ 2025 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |