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 | ASX Accredited Listed Product Adviser Program - Kaplan ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan |
| Jurgen Hans Schonafinger | 1990 | ALPA - Kaplan ~ Certified Financial Planner - FPA ~ DFP 1-8 - FPA ~ Diploma of financial planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan |
| Kelly Marree Mitchell | 2011 | Bachelor of Business (Finance) - Charles Sturt University (CSU) ~ Certificate IV in Financial Services (Superannuation) - Association of Superannuation Funds of Australia Ltd (ASFA) ~ Diploma of Financial Services (Financial Planning) - Association of Superannuation Funds of Australia Ltd (ASFA) ~ Diploma of Financial Services (Superannuation) - Association of Superannuation Funds of Australia Ltd (ASFA) ~ Master of Applied Finance - Charles Sturt University (CSU) |
| Patrick Nicholas Mccarron | 2008 | Accredited Listed Product Adviser accreditation - Kaplan ~ Advanced Diploma Financial Services - International Institute of Technology ~ Bachelor of Behavioural Science - La Trobe University ~ Certificate III in Business (Accounting) - Swinburne University of Technology ~ Graduate Certificate of Business in Management - Swinburne University of Technology |
| William Roderick Woodford | 0 | Bachelor of Commerce - Deakin University ~ Ethics - Kaplan |