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 | 2005 - Bachelor of Commerce (Accounting and Finance) - - University of Queensland ~ 2008 - Graduate Diploma of Financial Planning - - FINSIA ~ 2010 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2013 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education |
| David Trikamji | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - - Tribeca Learning ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Self Managed Superannuation Funds - - Mentor Education Group |
| Harjit Matthew Singh Malhi | 2011 | 2009 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2014 - Advanced Diploma of Financial Planiing - Advanced Diploma (AQF 6) - Kaplan Professional Education |
| Manjinder Singh Malhi | 2014 | 2014 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - Griffith University ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2015 - Advanced Diploma Of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2016 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2017 - Tier 1 Margin Lending Personal Advice - Other - Kaplan Professional |