Licensed Financial Advisors

Licensed Financial Advisors (AFSL)

The financial advisory sectors in Australia is strictly regulated by law, and only licensed professionals with an AFSL may provide financial advice.

ASIC sets out a legal regime that governs the financial advisory profession, including various classes of licences for advisors, and a standardised framework for providing financial advice.

Our AFSL allows us to provide you with financial product advice for:

  • your existing superfund or Self-Managed Superannuation Fund (SMSF)
  • setting-up or making changes to your SMSF
  • arranging for you buy or sell financial products in your SMSF
  • basic ‘class of product’ deposit products and superannuation

We are selective in the clients we take on, with our goal being building long term relationships and helping you succeed.

Info/Max Financial Advisory isn’t wholly or partly owned by or under contract to any bank or other financial institution, unlike most Australian financial advisors. We provide financial advisory services under our own Australian Financial Services License (AFSL) No. 488995.

We work on a strictly fee-for-service basis – we don’t accept commissions or other benefits from product manufacturers. In other words, we don’t serve two masters. When you become our client, we work for you and provide strategies and solutions that we consider are best for you.

Info/Max Financial Advisory isn’t wholly or partly owned by or contracted to any bank or other financial institution, which enables us to focus our advice in your best interests.

Steps to your Financial Success

  1. Financial Services Guide (FSG)
    • The process starts with a FSG which is a formal introduction to our company, our financial planning services and processes.
    • When you are ready to proceed we meet in person , if we have not done so already.
    • See our FSG
  2. Fact Finder
    • It’s now our turn to find out about you with the help of our Fact Finder Questionnaire.
    • We will discuss your needs and reasons for seeking advice and how we can add value to your situation.
    • We will work with you to identify your short and longer term financial goals. We will also collect information about your personal situation, assets and liabilities, income and expenses, insurance, risk tolerance, and other relevant details.
    • This information forms the foundation for developing your plan, so it’s essential that you take care to  ensure it’s complete and accurate.
    • If we are unable to provide you with the services you seek, we will tell you this upfront.
  3. Statement of Advice (SOA)
    • We will provide you with a written SOA, which covers our detailed recommendations to you.
    • Our recommendations will be customised to your specific goals, needs and circumstances. We will be available to meet with you to discuss your strategy and answer any questions you may have.
    • When you’re ready to proceed, we will assist you through the processes and paperwork involved in implementing your plan.
  4. Record of Advice (ROA)
    • Over time, as your circumstances, lifestyle, and financial goals as well as the economic and legislative environments evolve. We will review your plan to ensure you remain on track and if necessary, give you a ROA with any minor changes to your SOA.

Call our Authorised Representative – Brian Katzen on 0412 102 525, on simply complete our Contact Us form above…

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Australian Financial
Services Licence

AFSL No: 488995

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