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;
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;
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 |
---|---|---|
Christopher Jeremy Land | 2007 | BA (Hons) Retail Marketing - Manchester Metropolitan University ~ Licensing Examination Papers 1,7 & 8 - Hong Kong Securities & Investment Institute ~ Ontrack CPD - Kaplan Professional ~ Superannuation and Retirement Advice - Kaplan ~ Tier1 Generic Knowledge, Superannuation Personal Advice - Kaplan Professional |
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 |
Emily Tara Freundt | 2016 | Bachelor of Commerce - University of Adelaide ~ Financial Planning PS 146 - Intergrity Education Group |
Eszter Nagy | 2005 | Diploma of Financial Services (PS146) - Mentor Education ~ M5, M8A, M9, HI - Singapore College of Insurance ~ Master of Commerce (Financial Planning) - University of Western Sydney |
Gregory Carmel Smith | 2009 | Associate Financial Planner Exams - Institute of Financial Planners Hong Kong ~ Bachelor of Laws LLB - Chinese University of Hong Kong ~ Diploma of Financial Planning, Specialist Knowledge, SMSF - Integrity Education Group ~ Level 2 Award - Chartered Institute for Securities and Investment ~ Licensing Examination Paper 1 - Hong Kong Securities & Investment Instiyute |
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 |
Nicholas James Leopold Shiroi | 2011 | Award in Financial Planning - Chartered Insurance Institute - UK ~ BUSINESS WITH FINANCE BA HONS - PLYMOUTH BUSINESS SCHOOL - UK ~ Financial Services, Regulation and Ethics - LONDON INSTITUTE OF BANK AND FINANCE - UK ~ Full Diploma Tier 1:Generic Knowledge, Managed Investments, Superannuation, SMSF, Life Insurance - Financial Educational Professionals ~ Insurance Intermediaries: Principles & Practices, Long Term Insurance, Investment Linked Insurance - PEAK-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 |
Susan Scott Khoo | 2009 | Certificate of Margin Lending and Gearing - Kaplan Professional ~ Diploma of Financial Services - PS146 Training Australia ~ Diploma of Teaching - Western Teachers College - Adelaide ~ Tax (Financial) Adviser - Tax Practioners Board |
William Jialu Cheng | 2018 | Bachelor of Accounting - La Trobe University ~ Diploma of Business Administration - La Trobe University ~ Diploma of Financial Planning - Mentor Education |