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 |
| Kelly Marree Mitchell | 2011 | 2007 - Diploma of Financial Services (Superannuation) - - Association of Superannuation Funds of Australia Ltd (ASFA) ~ 2008 - Certificate IV in Financial Services (Superannuation) - - Association of Superannuation Funds of Australia Ltd (ASFA) ~ 2008 - Diploma of Financial Services (Financial Planning) - - Association of Superannuation Funds of Australia Ltd (ASFA) ~ 2011 - Bachelor of Business (Finance) - - Charles Sturt University (CSU) ~ 2015 - Master of Applied Finance - - Charles Sturt University (CSU) |
| Patrick Nicholas Mccarron | 2008 | 1998 - Bachelor of Behavioural Science - - La Trobe University ~ 2001 - Graduate Certificate of Business in Management - - Swinburne University of Technology ~ 2002 - Certificate III in Business (Accounting) - - Swinburne University of Technology ~ 2010 - Advanced Diploma Financial Services - - International Institute of Technology ~ 2013 - Accredited Listed Product Adviser accreditation - - Kaplan |
| William Roderick Woodford | 2024 | 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2022 - Ethics - Bridging Course - Ethics - Kaplan |