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 |
|---|---|---|
| Adam Edward Faulkner | 2008 | 1997 - Bachelor of Commerce (Land Economy) - - University of Western Sydney ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2020 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| David John Grech | 2018 | 2017 - Bachelor of Commerce - - Macquarie University ~ 2018 - Diploma of Financial Planning - - Monarch Institute |
| Sungjin KO | 2016 | 2012 - Graduate Certificate in Applied Finance - - Kaplan ~ 2015 - Graduate Diploma of Financial Planning - - Kaplan ~ 2016 - SMSF Accreditation - - Pinnacle |