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 |
|---|---|---|
| Dimosthenis Fessopoulos | 2009 | 2008 - Graduate Certificate in Financial Planning - - Kaplan Professional ~ 2010 - Graduate Diploma of Applied Finance (Financial Planning) - - Kaplan Professional ~ 2010 - Margin Lending and Geared Investments - - Kaplan |
| Stephen John Mason | 1989 | 1983 - Bachelor of Business - - NSW Institute of Technology ~ 1991 - Financial Planning Certificate - - CPA ~ 1998 - Financial Plan Construction (DFP8) - - Deakin University/ Financial Planning Association ~ 2010 - DPML Margin Lending - Professional Designations - Pinnacle Financial Services Academy ~ 2023 - TFAv1 Tax for Financial Advising - Diploma (AQF 5) - Kaplan |