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;
general insurance 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:
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;
deposit products other than basic deposit products;
general insurance 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 |
|---|---|---|
| Andrew Tate | 2018 | 2017 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Kaye Zhuqing Zhang | 2024 | 2004 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The Australian National University ~ 2005 - Master of Financial Management - Masters Degree (AQF 9) - The Australian National University ~ 2023 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - The University of New South Wales |
| Paul Gordon Rickard | 1995 | 1981 - Bachelor of Science - - University of Sydney ~ 1994 - Diploma of Financial Planning - - Financial Planning Association via RMIT ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - - Financial Planning Association of Australia ~ 2010 - Self- Managed Superannuation Funds - - – Kaplan Professional |
| Peter William Switzer | 2007 | 1974 - Bachelor Of Commerce - - UNSW ~ 1976 - Masters of Commerce - - UNSW ~ 2007 - Diploma of Financial Services - - Tribeca |