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;
derivatives;
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;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
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;
derivatives;
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;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products; and
underwriting:
interests in managed investment schemes; and
an issue of securities; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
Name | First provided advice | Qualification and trainings |
---|---|---|
Brett Andrew Hall | 2001 | Bachelor of Commerce - University of Newcastle ~ Certificate IV in Finance & Mortgage Broking - Kaplan Education ~ Certified Practising Accountant - CPA Australia ~ Registered Tax Agent - Tax Practioners Board ~ SMSF Auditor - ASIC |
Luke Gerard Mather | 2018 | Bachelor of Commerce - University of Newcastle ~ CPA Program - CPA Australia ~ RG146 - Kaplan |
Margaret Jane Pritchard | 1995 | Bachelor of Financial Administration - University of New England ~ Certificate IV in Finance & Mortgage Broking - Kaplan Education ~ Certificate of Public Practice - Institute of Chartered Accountants of Australia ~ Registered Tax Agent - Tax Practioners Board ~ SMSF Auditor - ASIC |
Melanie Holmes | 2007 | Bachelor of Commerce - University of Newcastle ~ Certified Practicising Accountant (CPA Program) - CPA Australia ~ Personal Financial Planning & Superannuation - CPA Australia |
Steven Shane Pritchard | 1988 | Bachelor of Commerce - University of Newcastle ~ Bachelor of Commerce - University of Newcastle ~ Certified Practising Accountant - CPA Australia ~ Certified Practising Accountant - CPA Australia ~ Graduate Diploma in Applied Finance & Investment - Securities Institute of Australia ~ Graduate Diploma in Applied Finance & Investment - Securities Institute of Australia ~ Registered Tax Agent - Tax Practioners Board ~ Registered Tax Agent - Tax Practioners Board ~ SMSF Auditor - ASIC ~ SMSF Auditor - ASIC |