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 | Bachelor of Business (Accounting Major) - Australian Catholic University ~ Bachelor of Business (Accounting Major) - Australian Catholic University ~ Diploma of Financial Planning - International Institute of Technology ~ Diploma of Financial Planning - International Institute of Technology ~ Introduction to Securities & Investment (International) - Chartered Institute for Securities & Investment ~ Introduction to Securities & Investment (International) - Chartered Institute for Securities & Investment ~ Master of Commerce - RMIT University ~ Master of Commerce - RMIT University |
| Jonathan Edward Bonnett | 1999 | Bachelor of Arts in Administration - University of Canberra ~ Diploma in Financial Markets - Kaplan ~ FASEA Financial Planning Exam - FASEA ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Business Administration - University of Canberra |
| Lucy Xiao-wei Zheng | 2004 | Advanced Diploma of Financial Services - Kaplan (formerly Tribeca) ~ Advanced Diploma of Financial Services - Kaplan (formerly Tribeca) ~ Bachelor of Commerce - University of New South Wales ~ Bachelor of Commerce - University of New South Wales ~ Certified Financial Planner - Financial Planning Association ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Superannuation Management - Association of Superannuation Funds Australia ~ Diploma of Superannuation Management - Association of Superannuation Funds Australia |
| Melanie Jane Nutbeam | 1986 | BACHELOR OF LAW - AUCKLAND UNIVERSITY NZ ~ BACHELOR OF LAW - AUCKLAND UNIVERSITY NZ ~ CERTIFICATE IN FINANCIAL PLANNING - FINANCIAL PLANNING ASSOCIATION AUSTRALIA ~ CERTIFICATE IN FINANCIAL PLANNING - FINANCIAL PLANNING ASSOCIATION AUSTRALIA ~ DIPLOMA OF FINANCIAL PLANNING - FPA AUSTRALIA/DEAKIN UNIVERSITY ~ DIPLOMA OF FINANCIAL PLANNING - FPA AUSTRALIA/DEAKIN UNIVERSITY ~ GRADUATE DIPLOMA IN APPLIED FINANCE & INVESTMENT - FINANCIAL SERVICES INSTITUTE AUSTRALASIA ~ GRADUATE DIPLOMA IN APPLIED FINANCE & INVESTMENT - FINANCIAL SERVICES INSTITUTE AUSTRALASIA ~ INSURANCE & MPF INTERMEDIARIES QUALIFYING EXAMS - VOCATIONAL TRAINING COUNCIL HONG KONG ~ INSURANCE & MPF INTERMEDIARIES QUALIFYING EXAMS - VOCATIONAL TRAINING COUNCIL HONG KONG |
| Ross Allen Smith | 1983 | Bachelor of Economics - University of Adelaide ~ Bachelor of Economics - University of Adelaide ~ Certified Financial Planner - Financial Planning Association of Australia Limited ~ Certified Financial Planner - Financial Planning Association of Australia Limited ~ Master of Business Administration (Advanced) - University of Queensland ~ Master of Business Administration (Advanced) - University of Queensland ~ Master of Commerce in Applied Finance - University of Queensland ~ Master of Commerce in Applied Finance - University of Queensland ~ Master of Laws in Corporate & Financial Law - University of Hong Kong ~ Master of Laws in Corporate & Financial Law - University of Hong Kong |