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 |
|---|---|---|
| Daniel Joseph Costa | 2023 | Applied Finance - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Financial Planning - Kaplan |
| Dimosthenis Fessopoulos | 2009 | Graduate Certificate in Financial Planning - Kaplan Professional ~ Graduate Diploma of Applied Finance (Financial Planning) - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan |
| Stephen John Mason | 1989 | Bachelor of Business - NSW Institute of Technology ~ DPML Margin Lending - Pinnacle Financial Services Academy ~ Financial Plan Construction (DFP8) - Deakin University/ Financial Planning Association ~ Financial Planning Certificate - CPA ~ TFAv1 Tax for Financial Advising - Kaplan |