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Barclay Wells ltd

AFS License Number
235070
Name
Barclay Wells ltd
ABN/ACN/ARBN
88009352836
Licensee issued
Sept. 24, 2003
Address
Subiaco, 6008, WA

Licence conditions

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;
general insurance 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 excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
interests in managed investment schemes limited to:
own managed investment scheme only;
MDA services; and
securities;
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;
general insurance 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 excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
underwriting:
an issue of securities; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.

Location

Advisers

NameFirst provided adviceQualification and trainings
 Andy Kong2014Bachelor of Commerce - Murdoch ~ RG146 - Kaplan
 Chai Luay Chionh1990SDIA Accreditation Program - Securities and Futures Markets and Managed Investments - Deakin/SDIA
 Christopher Oldfield2003Bachelor of Law w Honours - Bond ~ Barrister & Solicitor (non-practicing) - Supreme Court of WA ~ Grad Diploma Applied Finance & Investment - Securities Institute of Australia ~ Masters of Law - UWA
 Greg Plumb2007RSG146 - Deakin
 James Pearson1985Series 3 Futures - FINRA ~ rg146 - Kaplan
 Rick DE Souza1987Bachelor of Business (Econs & Fin) - WAIT
 Terry Gardiner2007ASX Accredited Derivatives Adviser Level Two - Tribeca ~ Diploma of Financial Services - Tribeca
 Timothy Mark Hogan1986Bachelor of Economics - UWA