This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
general insurance products to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients;
securities limited to debentures of a body corporate or unincorporated body to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
managed investment schemes including IDPS to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Nicholas James Bradfield | 1998 | 1997 - Bachelor of Commerce - - UWS ~ 1997 - Bachelor of Commerce Accounting - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2001 - CPA - Professional Designations - CPA Australia ~ 2001 - CPA Program - - CPA Australia ~ 2002 - CFP Program - - FPA ~ 2002 - CFP Program - Graduate Certificate (AQF 8) - FPA ~ 2005 - Specialist in Financial Planning - Graduate Certificate (AQF 8) - CPA Australia ~ 2019 - CIMA - Professional Designations - Investments and Wealth Institute ~ 2019 - FASEA - Bridging Course - Ethics - FASEA Standards Authority ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |