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;
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; 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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Gregory Wayne Southwell | 2002 | 1995 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 1998 - Chartered Accountants Programme - Professional Designations - CAANZ ~ 2002 - Financial Planning Proper Authority Course - - Securities Institute of Australia of Australia ~ 2002 - SDIA Accreditation Programme Assessment - - Deakin University/ Financial Planning Association ~ 2004 - Self Managed Superannuation Funds - - Tribeca ~ 2012 - CA SMSF Specialist Accreditation Course - - University of New South Wales ~ 2017 - CFP Programme - Professional Designations - FPA ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Matthew John Mcnamara | 2003 | 1981 - Bachelor of Financial Administration - Bachelor Degree (AQF 7) - University of New England ~ 2002 - SIA Proper Authority Course - Other - Securities Institute ~ 2003 - Insurance (Core & Life) - - Assessment Education Services ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional Education ~ 2022 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Timothy Bruce Devenish Meares | 2003 | 1992 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 1995 - Chartered Accountant Programme - Professional Designations - CAANZ ~ 2002 - Financial Planning Proper Authority Course - - Securities Institute of Australia of Australia ~ 2021 - Ethics & Professionalism and Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Superannuation and Retirement Advice - Bridging Course - Regulation & Legal Obligations - Kaplan Professional |