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 | Bachelor of Business - University of Technology, Sydney ~ CA SMSF Specialist Accreditation Course - University of New South Wales ~ Financial Planning Proper Authority Course - Securities Institute of Australia of Australia ~ SDIA Accreditation Programme Assessment - Deakin University/ Financial Planning Association ~ Self Managed Superannuation Funds - Tribeca |
| Matthew John Mcnamara | 2003 | Ethics & Professionalism in Financial Advice - Kaplan ~ Insurance (Core & Life) - Assessment Education Services ~ Margin Lending & Geared Investments - Kaplan Professional Education ~ SIA Proper Authority Course - Securities Institute |
| Timothy Bruce Devenish Meares | 2003 | Ethics & Professionalism and Financial Advice - Kaplan Professional ~ Financial Planning Proper Authority Course - Securities Institute of Australia of Australia ~ Superannuation and Retirement Advice - Kaplan Professional |