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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Florence Tee | 2009 | Bachelor of Commerce - University of Melbourne ~ CPA - CPA ~ Diploma of Finance & Mortgage Broking Management - The National Finance Institute ~ Diploma of Financial Services FNB50104 - Dover Financial Training Pty Ltd |
| Lisa Maree Tait | 2007 | Diploma of Financial Services FNB50199 - Dover Financial Training Pty Ltd |
| Peter Vaggis | 2000 | Diploma of Financial Advising - Securities Institute Education |
| Rick Yu-hsueh Peng | 2014 | Diploma of Financial Planning - Intellitrain ~ Managed Investment & Sercurities - Mentor Education ~ Margin Lending - Mentor Education |
| Yafeng Cai | 2012 | CPA - CPA ~ Certificate IV in Financial Services (Finance/Mortgage broking) - The National Finance Institute ~ Diploma of Financial Services - Dover Financial Training Pty Ltd ~ Master of applied commerce in accounting - The University of Melbourne ~ master of business and information technology - The University of Melbourne |