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 | 2005 - Bachelor of Commerce - - University of Melbourne ~ 2008 - Diploma of Financial Services FNB50104 - - Dover Financial Training Pty Ltd ~ 2011 - CPA - Professional Designations - CPA ~ 2014 - Diploma of Finance & Mortgage Broking Management - Diploma (AQF 5) - The National Finance Institute |
| Lisa Maree Tait | 2007 | 1999 - Bachelor of Business (Management) - Bachelor Honours Degree (AQF 8) - Queensland University of Technology ~ 1999 - Graduate Certificate in Professional Accounting - Graduate Certificate (AQF 8) - The University of Southern Queensland ~ 2007 - Diploma of Financial Services FNB50199 - - Dover Financial Training Pty Ltd |
| Peter Vaggis | 2000 | 2001 - Diploma of Financial Advising - - Securities Institute Education ~ 2023 - Graduate Diploma of Applied Tax Law - Graduate Diploma (AQF 8) - The Tax Institute |
| Rick Yu-hsueh Peng | 2014 | 2014 - Diploma of Financial Planning - - Intellitrain ~ 2014 - Managed Investment & Sercurities - - Mentor Education ~ 2014 - Margin Lending - - Mentor Education |
| Yafeng Cai | 2012 | 2005 - master of business and information technology - - The University of Melbourne ~ 2006 - Master of applied commerce in accounting - - The University of Melbourne ~ 2008 - Diploma of Financial Services - - Dover Financial Training Pty Ltd ~ 2010 - CPA - Professional Designations - CPA ~ 2011 - Certificate IV in Financial Services (Finance/Mortgage broking) - Certificate (AQF 1-4) - The National Finance Institute |