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;
derivatives;
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;
derivatives;
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 |
|---|---|---|
| Greg Newbury | 2000 | 1989 - Bachelor of Business - - UTS ~ 1991 - CA Program - - Institute of Chartered Accountants ~ 2004 - Certified Public Practitioner - - Institute of Chartered Accountants ~ 2009 - Securities and Managed Investments - - Premium Wealth Management ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Thomas Heenan | 2018 | 2010 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Auckland ~ 2018 - Family SMSF Advisor RG146 Course - - Terra Cordis ~ 2024 - Chartered Accountant Program - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2025 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan |