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 |
|---|---|---|
| David John Myers | 1992 | 2000 - Diploma of Financial Planning - Diploma (AQF 5) - FPA ~ 2001 - Certified Financial Planner - - FPA ~ 2011 - Self Managed Super Fund Course - - Cavendish Superannuation Pty Ltd ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Graduate Diploma in Applied Finance - Graduate Diploma (AQF 8) - Kaplan Professional |
| Michael Lawrence Wundke | 1986 | 2000 - Certified Financial Planner - - FPA ~ 2000 - Diploma of Financial Planning - - FPA ~ 2004 - Self Managed Super Fund Course - - The Strategist Group ~ 2009 - Securities - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Rodica Simos | 2015 | 2008 - Master of Commerce (Applied Finance) - - The University of Adelaide ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2018 - Certified Financial Planner - - Financial Planning Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Warren Standing | 2007 | 2008 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2015 - Graduate Certificate in Financial Planning - - Kaplan Professional Education ~ 2016 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |