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:
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;
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 |
|---|---|---|
| Hei YU Hayley Wong | 0 | 2021 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - Master of Applied Finance - Masters Degree (AQF 9) - The University of New South Wales |
| Kurt Francis Smyth | 1994 | 1989 - Certificate in Financial Markets - - Securities Institute of Australia ~ 1992 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia ~ 2002 - PS146 Gap Training - - Securities Institute of Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan |
| Mark Paul Mclennan | 1993 | 1994 - Graduate Diploma in Applied Finance and Investment - - FINSIA ~ 1996 - Diploma of Financial Planning - - RMIT University ~ 2002 - Master of Applied Finance and Investment - - Macquarie University ~ 2006 - Certified Financial Planner - - Financial Planning Association of Australia |
| Raymond Thomas Hanlen | 1996 | 1994 - Diploma of Superannuation Management - - The Association of Superannuation Funds of Australia ~ 1997 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2000 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2002 - Graduate Certificate in Business - - Swinburne University of Technology |