Pricewaterhousecoopers Securities ltd

AFS License Number
244572
Name
Pricewaterhousecoopers Securities ltd
ABN/ACN/ARBN
54003311617
Licensee issued
March 1, 2004
Address
Sydney, 2000, NSW

Licence conditions

This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients in relation to the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
general insurance 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 excluding investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
superannuation;
provide financial product advice to wholesale clients in relation to the following classes of financial products:
carbon units;
Australian carbon credit units; and
eligible international emissions units; and
deal in a financial product by:
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to retail and wholesale clients in respect of the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
general insurance 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 excluding investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation; and
arranging for another person to apply for, acquire, vary or dispose of financial products to wholesale clients in respect of the following classes of financial products:
carbon units;
Australian carbon credit units; and
eligible international emissions units.

Location

Advisers

NameFirst provided adviceQualification and trainings
 Adam John Thompson2016Bachelor of Business - University of Technology
 Andrew Cloke2008Bachelor of Arts (French Studies) - University of Birmingham ~ Diploma of Financial Services - Quantum Financial Training ~ Insead Leadership Program - INSEAD
 Andrew George Forman2004Bachelor of Arts in Accountancy - South Australian Institute of Technology (University of South Australia) ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia (FINSIA)
 Andrew James Parker2006Bachelor of Economics - Macquarie University
 Andrew John Wellington2004Bachelor of Commerce (Hons) - University of Western Australia ~ Masters of Accounting - University of Western Australia
 Andrew Joseph Cronin2015Bachelor of Commerce - University of Melbourne ~ Chartered Accountant - Institute of Chartered Accountants Australia ~ Graduate Diploma, Applied Fiannance - FINSIA
 Andrew Michael Weeden2008Bachelor of Arts (Honours) in European Business Administration - Middlesex University, UK ~ Chartered Accountant - Institute of Chartered Accountants in Scotland ~ Diploma des Etudes Superieures Europeennes de Management - Ecole Superieure de Commerce, Reims, France
 Andrew Welsh2011BA (Hons) Accounting & Financial Analysis - University of Newcastle upon Tyne
 Brian Joseph Mullock2012Bachelor of Science in Accounting - The Pennsylvania State University ~ Leadership Talent Pool - INSEAD
 Catherine Anne Nance2004Bachelor of Science in pure and applied mathematics and physics - University of Queensland ~ FIAA Fellow of the Actuaries Institute of Australia - Actuaries Institute of Australia
 Charles Harold Humphrey2004BCom, majoring in Accounting, Finance and Systems - The University of New South Wales ~ MCom, majoring in Finance - The University of New South Wales
 Christopher David Lewis2009Bachelor of Arts (Mathematics) - University of Westermn Australia ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Fellow - Institute of Actuaries of Australia ~ Graduate Diploma of Management, AGSM - University of New South Wales
 Christopher James Dodd2012Bachelor of Commerce - University of Melbourne ~ MBA - Melbourne Business School
 Clara Angela Cutajar2005Bachelor of Business - University of Western Sydney
 Daniel Haim Mark Rosenberg2006Bachelor of Commerce - Monash University ~ Diploma of Financial Services - Quantum Financial Training
 Darren Michael Carton2010Bachelor of Business - Accounting - Monash University ~ Bachelor of Business- Banking and Finance - Monash University ~ Chartered Accountant Program - Institute of Chartered Accountants Australia
 David Stoddart Wiadrowski2004Bachelor of Commerce - University of New South Wales
 Glen James Hadlow2004Bachelor of Commerce - University of New South Wales
 Jane Louise Reilly2013B Comm (Accounting) - University of Western Sydney
 Janice Helen Lunt Jones2005Bachelor of Arts (Mathematics) - University of Western Australia ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Fellow - Institute of Actuaries of Australia ~ Graduate Diploma of Management, AGSM - University of New South Wales
 John Fintan O'callaghan2004Associate Degree - Institute of Vhartered Accountants Australia ~ Bachelor of Commerce - University of Melbourne
 John Stuart Dawson2004Bachelor of Commerce - University of Melbourne
 Jonathan Mark Griffiths2007BA (Hons) International History and Politics - University of Leeds ~ Qualified as a CA - ICAEW
 Jonathan Paul Roberts2016Bachelor of Science (Hons) Mathematics - University of Nottinghan, England ~ Chartered Accountant - Institute of Chartered Accountants Australia (ICAA)- now known as CAANZ ~ Chartered Accountant - Institute of Chartered Accountants, England and Wales (ICAEW) ~ RG146 qualification - Quantum Financial Training ~ Registered auditor - Australian Securities and Investments Commission IASIC)
 Kevin David Reeves2005Bachelor of Economics (Hons) - Leeds University
 Kristin Stubbins2014Bachelor of Commerce, Bachelor of Arts - University of Queensland
 Lisa Foster2015Bachelor of Financial Administration & Bachelor of Science - University of New England ~ Diploma of Financial Planning - ASIC ~ Masters of Finance - INSEAD
 Lisa Jane Harker2004Bachelor of Commerce - Melbourne University ~ Diploma of Financial Services - Quantum Financial Training
 Mark Christopher Reading2004BComm - University of New South Wales ~ Graduate Diploma in Applied Finance - Securities Institute of Australia (now FINSIA) ~ MBA - University of Central Queensland (Australia) UCQ ~ Professional Year - Institute of Chartered Accounts in Australia
 Mark Greig Dow2015MA Honours (1st Class) Accounting & Economics - University of Aberdeen
 Mark Haberlin2004CA - ICAEW ~ Honours degree in Civil Engineering - Imperial College London
 Matthew Thomas Lunn2005BCom - University of Western Australia
 Michael John Codling2012BSc (Hons) Mathematical Statistics - Birmingham Univesity
 Michelle Wei-ling Chiang2007Bcahelor of Commerce - University of Western Australia
 Niall Ruari Mcconnell2016Final Admitting Exam - Institute of Chartered Accountants in Ireland ~ Professional 1 & 2 ICAI - Waterford Institute of Technology
 Nigel Anthony Smythe2004Bachelor of Business - RMIT ~ Graduate Diploma in Applied Finance & Investment - Securities Institute of Australia
 Paul John Hennessy2010Bachelor of Science in Applied Mathematics & Computing (first class honours with Economics elective) - University of Limerick ~ Certificate in Finance & Investment - Institute of Actuaries (United Kingdom) ~ Diploma in Actuarial Techniques - Institute of Actuaries (United Kingdom) ~ Fellow - Institute of Actuaries (United Kingdom)
 Paul Raymond Lewis2016Bachelor of Commerce - University of Melbourne ~ Chartered Accountant - Insitute of Chartered Accountants Australia
 Paul Tasker2014Bachelor of Business Science - Villanova University, US
 Paul William Lindstrom2004Bachelor of Business - Accountancy - QUT
 Richard David Savage2006MA Economics - Queens College Cambridge
 Richard John Stewart2004Bachelor of Economics in Accounting and Finance - Macquarie University ~ Company directors course - AICD ~ Masters of Business Administration in Strategy and Marketing - University of New England ~ Profesisonal Year - Institute of Chartered Accountants Australia
 Robert Alexander Speedie2013Bachelor of Commerce - The Flinders University of South Australia ~ Chartered Accountant - ICAA ~ Regulatory Guidance 146- Certificate of competency - Quantum Financial Training ~ South Australian Certificate of Education - Prince Alfred College
 Robert George Silverwood2012Bachelor of Commerce (Accounting & Finance) - Monash University
 Roger Maitland Port2004Bachelor of Arts - Macquarie University ~ Company Directors Course Diploma - Australian Institute of Company Directors ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia
 Sean Michael Gregory2004Bachelor of Arts (History) - Exeter University ~ Chartered Accountant - ICAEW
 Shannon Trent Maher2015Bachelor of Commerce - University of New South Wales ~ Graduate Diploma of Applied Finance & Investment - Securities Institute of Australia ~ Professional Year Program - Institute of Chartered Accountants in Australia
 Stephen James Bourke2014Bachelor of Arts - Oxford University ~ Certificate of Competency Regulatory Guide 146 - Quantum Financial Training (Generic Knowledge, Securities)
 Steven John Bosiljevac2014Bachelor of Commerce - James Cook University of North Queensland ~ Professional Year Program - Institute of Chartered Accountants in Australia
 Stuart Glen Morley1991Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Bachelor of Business (Accountancy) - RMIT University ~ Diploma of Financial Services - Kaplan Professional Education
 Sumanth Prakash2015Bachelor of Commerce (Accounting) - University of New South Wales
 Susan Gai Horlin2014Bachelor of Economics - Macquarie University
 Troy Andrew Porter2005BCom (Accounting and Finance) - University of Wollongong
 Wilhelmus Marius Blom2004Bachelor of Commerce - University of Queensland ~ Diploma of Management (Petroleum) - Oxford/Princeton Programme
 William Paul Ross Meston2010Bachelor of Commerce Joint Honours Degree in Business Studies and Accounting - University of Edinburgh, UK ~ Chartered Accountant - Institute of Chartered Accountants in Australia & New Zeland, Australia ~ Chartered Accountant - Institute of Chartered Accountants of Scotland, UK ~ RG146 Qualified - ASIC ~ Registered Company Auditor - ASIC