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;
derivatives;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives; and
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;
derivatives;
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 |
|---|---|---|
| Kathleen Helen Massasso | 2018 | 1997 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Sydney ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - CPA Australia ~ 2025 - thics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Stephen Glossop | 2002 | 2002 - Diploma of Financial Markets - - Kaplan ~ 2014 - Diploma in Financial Planning - Diploma (AQF 5) - Kaplan ~ 2017 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Kaplan ~ 2018 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2025 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |