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 |
|---|---|---|
| Gregory Alexander Fuzi | 2001 | 1997 - Diploma of Financial Advising - Diploma (AQF 5) - Securities Institute of Australia ~ 1998 - Retirement Income Streams Training Program Level 2 - Other - ARISA ~ 2014 - SMSF Advising Qualification - Other - Pinnacle Financial Services Academy |
| Lei Cai | 2012 | 2006 - Diploma of Commerce - Diploma (AQF 5) - Sydney Institute of Technology ~ 2008 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Macquarie University ~ 2010 - Master of Applied Finance - Masters Degree (AQF 9) - University of Western Sydney ~ 2012 - Diploma of Financial Services - Diploma (AQF 5) - Kaplan Higher education Pty Ltd ~ 2024 - Graduate Diploma of Finncial Planning - Graduate Diploma (AQF 8) - Kaplan Higher eduaction Pty Ltd |
| Martin Speiser | 1992 | 1986 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of New South Wales ~ 1995 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 1999 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association ~ 2003 - Diploma of Mortgage Lending - Diploma (AQF 5) - Securities Institute of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Education Pty Ltd |
| Navdeep Singh Bhathal | 2009 | 2010 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University Queensland Australia |
| Nayyar Hayat | 2021 | 1997 - Bachelor of Science - Other - University of Punjab ~ 1999 - Associate Membership - Bachelor Degree (AQF 7) - Institute od Cost & Management Accountants |
| Richard Frederick Van Akerlaken | 1982 | 1992 - Business Life Insurance Agent - Professional Designations - National Mutual Financial Services ~ 2000 - Estate Planning Course - Certificate (AQF 1-4) - AXA Financial Planning Limited ~ 2004 - Diploma of Financial Services - Diploma (AQF 5) - Tribeca Learning (Aust) Pty Limited ~ 2004 - Taxation Planning - Certificate (AQF 1-4) - Tribeca Learning (Aust) Pty Limited |
| Tapas Basu | 2011 | 1996 - Diploma in Law - Diploma (AQF 5) - Legal Profession Admission Board (LPAB) ~ 2011 - FNS50804 Diploma of Financial Services (financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Ltd ~ 2014 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Higher Education Pty Ltd ~ 2015 - FNS60410 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Ltd |