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;
derivatives;
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;
derivatives;
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 |
|---|---|---|
| Annalise Jasmine Blackshaw | 2023 | 2011 - Bachelor of Property and Sustainable Development - Bachelor Degree (AQF 7) - Bond University ~ 2021 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Hean Tong Francis Tan | 1998 | 1996 - Bachelor of Commerce - - The University of Sydney ~ 1997 - Bachelor of Law - - The University of Sydney ~ 1998 - Graduate Diploma in Legal Practice - - Australian National University ~ 2000 - Graduate Diploma in Financial Planning - - Securities Institute of Australia ~ 2012 - Master in Business Administration - - Macquarie Graduate School of Management |
| Henry Chandos Mortlock | 2012 | 2011 - Bachelor of Agricultural Economics - - The University of Sydney ~ 2011 - Diploma in Business Administration - - University of California, Berkeley ~ 2012 - Professional Diploma in Stockbroking - - Deakin University ~ 2012 - Securities and Managed Investments Accreditation - - Deakin University ~ 2018 - Diploma of Financial Planning - - Kaplan Professional |
| Renee Souster | 2017 | 2007 - Bachelor of Business - - University of Technology, Sydney ~ 2008 - Master of Applied Finance - - Macquarie University ~ 2008 - PS146 Compliance Gap Training - - Macquarie University Applied Finance Centre ~ 2014 - Diploma of Financial Planning - - Kaplan Professional Education |