This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients 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 excluding investor directed portfolio services;
securities; and
superannuation;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
interests in managed investment schemes limited to:
own managed investment scheme only; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients 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 excluding investor directed portfolio services;
securities; and
superannuation; and
provide the following custodial or depository services to wholesale clients:
operate custodial or depository services other than investor directed portfolio services.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Johnny Man Loong NG | 2016 | 1992 - Master of Commerce (Marketing) - - The University of New South Wales ~ 2011 - Diploma Financial Services (Financial Planning) - - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan ~ 2018 - Self Managed Superannuation Funds - - Kaplan Professional |
| Lucy Claxton | 2023 | 2022 - Accredited Aged Care Professional - Other - Aged Care Steps ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Matthew Davey | 2002 | 2006 - Advanced Diploma of Financial Services (Financial Planning)(FNS60404) - Advanced Diploma (AQF 6) - Tribeca ~ 2006 - Diploma of Financial Services (Financial Planning)(FNS50804) - Diploma (AQF 5) - Tribeca ~ 2010 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Patrick Campbell Howard | 2018 | 2013 - ASIC RG146 Tier 1 Insurance Broking Compliance - - Australian and New Zealand Institute of Insurance and Finance ~ 2018 - Diploma of Financial Planning - - Kaplan Professional |
| Thomas Sammann | 2002 | 1988 - Bachelor of Business (Accounting) - - RMIT ~ 1990 - Professional Year Program, Chartered Accountant - - Chartered Accountants Australia and New Zealand ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - AMP Financial Sevices ~ 2014 - Graduate Diploma in Organisational Leadership - - Melbourne Business School |