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 | Bachelor of Property and Sustainable Development - Bond University ~ Graduate Diploma in Financial Planning - Kaplan |
| Hean Tong Francis Tan | 1998 | Bachelor of Commerce - The University of Sydney ~ Bachelor of Law - The University of Sydney ~ Graduate Diploma in Financial Planning - Securities Institute of Australia ~ Graduate Diploma in Legal Practice - Australian National University ~ Master in Business Administration - Macquarie Graduate School of Management |
| Henry Chandos Mortlock | 2012 | Bachelor of Agricultural Economics - The University of Sydney ~ Diploma in Business Administration - University of California, Berkeley ~ Diploma of Financial Planning - Kaplan Professional ~ Professional Diploma in Stockbroking - Deakin University ~ Securities and Managed Investments Accreditation - Deakin University |
| Renee Souster | 2017 | Bachelor of Business - University of Technology, Sydney ~ Diploma of Financial Planning - Kaplan Professional Education ~ Master of Applied Finance - Macquarie University ~ PS146 Compliance Gap Training - Macquarie University Applied Finance Centre |