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;
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 |
|---|---|---|
| Byron Michael Banfield | 2023 | 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| David Martin Banfield | 2004 | 2005 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |
| Giuseppe DI Mauro | 2000 | 1997 - Bachelor of Commerce (Banking and Finance) - - Curtin University ~ 2002 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |
| Simon Matthew Johnson | 2004 | 2002 - Bachelor of Commerce - - Curtin University ~ 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |