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 |
|---|---|---|
| James Tran | 2006 | 1999 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2004 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2014 - SMSF Specialist Accreditation - Other - SMSF Association ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Miles Robin Jacob | 2025 | 2009 - Bachelor Of Commerce - Bachelor Honours Degree (AQF 8) - University of Western Australia ~ 2012 - Chartered accountants program - Professional Designations - Instititute of Chartered Accountants Australia ~ 2020 - SMSF Specialist Advisor - Professional Designations - SMSF Association ~ 2022 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |