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 |
|---|---|---|
| Leon Luke LA Rosa | 2015 | 2013 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2018 - Self Managed Superannuation Funds - - Kaplan |
| Levi Blake Hohn | 2007 | 2008 - Advance Diploma of Financial Services (Financial Planning) - - Mentor Education Group ~ 2013 - Self Managed Super Funds - - Mentor Education Group ~ 2014 - Certificate IV Financial Broking & Mortgage Lending - - AAMC ~ 2014 - Margin Lending - - Mentor Education Group ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Ross Gerard Caruso | 1996 | 2001 - DFP Modules 1-7 - - FPA Deakin ~ 2006 - Self Managed SuperFund - - Kaplan Professional Education ~ 2013 - Securities - - Kaplan Professional Education ~ 2014 - Margin Lending - - Mentor Education ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |