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;
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;
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 |
|---|---|---|
| Asit Kumar Nayak | 2017 | 2017 - Diploma of Financial Planning - - Monarch Institute ~ 2017 - Provide advice in Self-Managed Superannuation Funds - Other - Monarch Institute ~ 2019 - Provide advice in Margin Lending - Other - Monarch Institute |
| Daniel John Williams | 2018 | 2008 - Master of Business Administration - Masters Degree (AQF 9) - Maquarie University ~ 2008 - Master of Management - Masters Degree (AQF 9) - Maquarie University ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2020 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional |
| Tracey Ann Smylie | 2012 | 2012 - Diploma of Financial Services(Financial Planning) - - Kaplan Professional ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional |