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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| John Charles Reid | 1995 | 1980 - Bachelor of Business Studies - Bachelor Degree (AQF 7) - RMIT ~ 2019 - Self Managed Super Funds - Other - Kaplan Professional |
| Robert James Reid | 2018 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2023 - Self Managed Super Funds and Taxation - Other - Kaplan Professional |
| Rosanne Louella Joyce | 2006 | 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2011 - Margin Lending and Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2013 - SMSF Specialist Adviser Accreditation Program - Other - SMSF Association |
| Steven Kwok | 2010 | 2000 - Bachelor of Commerce - Bachelor Degree (AQF 7) - La Trobe University ~ 2003 - Graduate Diploma ICAA - Graduate Diploma (AQF 8) - ICAA ~ 2010 - Diploma of Financial Services - Diploma (AQF 5) - Mentor Education Group ~ 2014 - Self Managed Superannuation Funds - Other - Mentor Education Group |
| Tuan Van Hoang | 2006 | 2003 - Diploma of Accounting - Diploma (AQF 5) - The Victorian Business College ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2017 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |