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 | 2001 - Bachelor of Commerce - - University of Newcastle ~ 2004 - Certified Practising Accountant - - CPA Australia ~ 2005 - Registered Tax Agent - - Tax Practioners Board ~ 2014 - Certificate IV in Finance & Mortgage Broking - - Kaplan Education ~ 2014 - SMSF Auditor - - ASIC |
| Luke Gerard Mather | 2018 | 2007 - Bachelor of Commerce - - University of Newcastle ~ 2011 - CPA Program - - CPA Australia ~ 2018 - RG146 - - Kaplan |
| Margaret Jane Pritchard | 1995 | 1981 - Bachelor of Financial Administration - - University of New England ~ 1989 - Registered Tax Agent - - Tax Practioners Board ~ 2000 - Certificate of Public Practice - - Institute of Chartered Accountants of Australia ~ 2014 - Certificate IV in Finance & Mortgage Broking - - Kaplan Education ~ 2014 - SMSF Auditor - - ASIC |
| Melanie Holmes | 2007 | 2007 - Bachelor of Commerce - - University of Newcastle ~ 2009 - Personal Financial Planning & Superannuation - - CPA Australia ~ 2010 - Certified Practicising Accountant (CPA Program) - - CPA Australia |
| Steven Shane Pritchard | 1988 | 1986 - Bachelor of Commerce - - University of Newcastle ~ 1987 - Registered Tax Agent - - Tax Practioners Board ~ 1988 - Certified Practising Accountant - - CPA Australia ~ 1993 - Graduate Diploma in Applied Finance & Investment - - Securities Institute of Australia ~ 2014 - SMSF Auditor - - ASIC |