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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Daryl John Johnstone | 2011 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - ASX Accredited Listed Product Adviser Program - - Kaplan |
| Jurgen Hans Schonafinger | 1990 | 2001 - Certified Financial Planner - - FPA ~ 2001 - DFP 1-8 - - FPA ~ 2001 - Diploma of financial planning - - Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2014 - ALPA - - Kaplan |
| William Roderick Woodford | 2024 | 2019 - Bachelor of Commerce (major in Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2022 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |