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;
derivatives limited to those used for hedging purposes to wholesale clients;
general 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;
non-cash payment products to retail and wholesale clients;
securities to wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to issue, apply for, acquire, vary or dispose of a financial product 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 life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS named 'Newcastle Permanent Investment Portfolio', but excluding other IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
non-cash payment products 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;
general 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;
non-cash payment products to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to arrange for another person to issue, apply for, acquire, vary or dispose of a financial product limited to:
derivatives limited to those used for hedging purposes to wholesale clients; and
securities to wholesale clients.
Deal in a financial product limited to arrange for another person to apply for, acquire, vary or dispose of a financial product limited to:
derivatives limited to those used for hedging purposes to wholesale clients; and
securities to wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew James Eastwood | 2001 | 1998 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Newcastle ~ 2004 - Diploma of Financial Services – Financial Planning - - Tribeca ~ 2006 - Advanced Diploma of Financial Services – Financial Planning - - Tribeca |
| Bree Emily Phillips | 2018 | 2009 - Bachelor of MRS/MN - Bachelor Degree (AQF 7) - University of Newcastle ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education Pty Ltd ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education |
| Darren Peter Maundrell | 2000 | 1994 - Bachelor of Economics - - Macquarie University ~ 2001 - Diploma Financial Planning (DFP) - - Deakin University ~ 2003 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2008 - Listed Product Accreditation Course - - Savings Factory |