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;
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; 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:
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;
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; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| James Polwart-matich | 2010 | 2012 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Auckland ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2015 - Securities and Managed Investments - Other - Kaplan ~ 2018 - DFP5v3 Tax for Financial Advising - Other - Kaplan Professional ~ 2018 - TASACLv2 Commercial Law - Other - Kaplan Professional ~ 2021 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2025 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |