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;
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;
interests in managed investment schemes limited to:
MDA 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:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
deposit and payment products limited to:
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Andrew Michael Lim | 2014 | 2008 - Bachelor of Commerce Applied Finance (Planning) - - University of Wollongong |
| Brett Wing | 1996 | 2001 - Diploma of Financial Markets - - Securities Institute Education ~ 2002 - Diploma of Financial Advising - - Securities Institute Education ~ 2006 - Financial Plan Construction & Review - - Tribeca ~ 2009 - MFAA Equipment Finance Pack - - Mortgage & Finance Association of Australia ~ 2018 - Strategic Leadership Program - - Stanford University Graduate School of Business |
| Jarrad Bleechmore | 2011 | 2009 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - University of Technology, Sydney |
| Lauren Phelps | 2012 | 2011 - Bachelor of Commerce - Accounting - - Macquarie University ~ 2013 - Diploma of Financial Planning - - KAPLAN Professional Education |