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;
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;
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 clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Daniel Paul Hackett | 2014 | 2007 - Bachelor of Business (Accounting Major) - - Australian Catholic University ~ 2012 - Master of Commerce - - RMIT University ~ 2014 - Diploma of Financial Planning - - International Institute of Technology ~ 2016 - Introduction to Securities & Investment (International) - - Chartered Institute for Securities & Investment |
| Lucy Xiao-wei Zheng | 2004 | 1996 - Bachelor of Commerce - - University of New South Wales ~ 2002 - Diploma of Superannuation Management - - Association of Superannuation Funds Australia ~ 2006 - Advanced Diploma of Financial Services - - Kaplan (formerly Tribeca) ~ 2011 - Certified Financial Planner - - Financial Planning Association |
| Melanie Jane Nutbeam | 1986 | 1980 - BACHELOR OF LAW - - AUCKLAND UNIVERSITY NZ ~ 1991 - GRADUATE DIPLOMA IN APPLIED FINANCE & INVESTMENT - - FINANCIAL SERVICES INSTITUTE AUSTRALASIA ~ 2002 - DIPLOMA OF FINANCIAL PLANNING - - FPA AUSTRALIA/DEAKIN UNIVERSITY ~ 2006 - INSURANCE & MPF INTERMEDIARIES QUALIFYING EXAMS - - VOCATIONAL TRAINING COUNCIL HONG KONG ~ 2010 - CERTIFICATE IN FINANCIAL PLANNING - - FINANCIAL PLANNING ASSOCIATION AUSTRALIA |
| Ross Allen Smith | 1983 | 1981 - Bachelor of Economics - - University of Adelaide ~ 1994 - Certified Financial Planner - - Financial Planning Association of Australia Limited ~ 1999 - Master of Business Administration (Advanced) - - University of Queensland ~ 2004 - Master of Commerce in Applied Finance - - University of Queensland ~ 2011 - Master of Laws in Corporate & Financial Law - - University of Hong Kong |