This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to wholesale clients only for the following classes of financial products:
Australian carbon credit units;
eligible international emissions units; and
derivatives;
provide financial product advice to retail and wholesale clients 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;
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 to wholesale clients only:
Australian carbon credit units;
eligible international emissions units; and
derivatives;
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products to retail and wholesale clients:
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;
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Richard Walter Sheargold | 2003 | 1989 - Bachelor of Finance - - UNE ~ 1992 - CPA - - Association of CPA's ~ 2002 - Diploma of Financial Planning - - FPA |