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 |
|---|---|---|
| Bruce Gorry | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Commerce (Accounting and Finance) - University of Queensland ~ Graduate Diploma of Financial Planning - FINSIA ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| David Trikamji | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Tribeca Learning ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Mentor Education Group |
| Harjit Matthew Singh Malhi | 2011 | Advanced Diploma of Financial Planiing - Kaplan Professional Education ~ Bachelor of Business (Banking and Finance) - Queensland University of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Manjinder Singh Malhi | 2014 | Advanced Diploma Of Financial Planning - Kaplan Professional Education ~ Bachelor of Commerce (Accounting and Finance) - Griffith University ~ Diploma of Financial Planning - Mentor Education ~ Self Managed Superannuation Funds - Kaplan Professional ~ Tier 1 Margin Lending Personal Advice - Kaplan Professional |