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 |
|---|---|---|
| Adrian Han Hong NG | 2018 | 2007 - Bachelor of Economics - Bachelor Degree (AQF 7) - The University of Adelaide ~ 2012 - Graduate Certificate of Commerce - Graduate Certificate (AQF 8) - The University of Adelaide ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2022 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2022 - Tax and Commercial Law for Financial Planning - Other - Kaplan Professional ~ 2024 - SMSF Specialist Advisor (SSA) - Professional Designations - SMSF Association |
| Michael Ozga | 2014 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional Education ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology ~ 2017 - Principles of Self Managed Superannuation Funds - Other - International Institute of Technology |