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 |
|---|---|---|
| Anthony Jury | 2001 | DPML Margin Lending - Pinnacle Financial Services Academy ~ Diploma of Financial Services (Financial Planning) - Integratec ~ Graduate Diploma in Education - University of New South Wales (NSW) ~ Master of Commerce - University of New South Wales (NSW) ~ Self Managed Superannuation Funds - Kaplan Education |
| Gregory Alexander Fuzi | 2001 | Diploma of Financial Advising - Securities Institute ~ Retirement Income Streams Training Level 2 - ARISA ~ SMSF Advising Qualification - Pinnacle Education |
| Lei Cai | 2012 | Bachelor of Commerce - Accounting - Macquarie University ~ Diploma of Commerce - Sydney Institute of Technology ~ Diploma of financial Services - Kaplan ~ Master of Applied Finance - University of Western Sydney |
| Martin Speiser | 1992 | B Comm - University of NSW ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Diploma of Mortgage Lending - Securities Institute |
| Navdeep Singh Bhathal | 2009 | Bachelor of Commerce - Griffith University Queensland Australia |
| Nayyar Hayat | 2021 | Associate Membership - Institute od Cost & Management Accountants ~ Bachelor of Science - University of Punjab |
| Praneeth Chindanur | 2024 | Bachelor of Business Management (Finance) - PES College of Business Management. ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Banking and Finance - Macquarie university |
| Richard Frederick Van Akerlaken | 1982 | Diploma of Financial Services - Tribeca |
| Tapas Basu | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma in Law - Legal Profession Admission Board (LPAB) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |