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 |
|---|---|---|
| Swaif Khan | 1999 | 1995 - Associate Diploma of Business - - Other ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - FPA ~ 2006 - Master of Applied Finance - Masters Degree (AQF 9) - FINSIA ~ 2020 - MAI769 Ethics for Financial Services - Bridging Course - Ethics - Deakin University |
| Theothori Kotses | 2000 | 1999 - Bachelor of International Business - Bachelor Degree (AQF 7) - Flinders University ~ 2001 - Graduate Diploma in International Business Administration - Graduate Diploma (AQF 8) - Flinders University ~ 2002 - Foundation Diploma in Financial Planning - Diploma (AQF 5) - Financial Planning Association FPA ~ 2020 - MAI769 Ethics for Financial Services - Bridging Course - Ethics - Deakin University |