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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
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; and
superannuation; and
deal in a financial product by:
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alejandro Jimenez Valdivieso | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy Pty Ltd ~ Determine Client requirements and expectations - Pinnacle ~ Diploma of Financial Services (Financial Planning) - Finsia ~ Diploma of Financial Services (Financial Planning) - Finsia Education ~ Provide Advice in Margin Lending - Pinnacle ~ Record & implement client instructions - Pinnacle |
| Charles Read | 2003 | Bachelor of Economics - Sydney University ~ Diploma of Financial Planning - Deakin University |
| Daniel James O'connell | 2024 | Bachelor of Commerce - University of Canberra ~ Bachelor of Commerce - University of Canberra ~ Master of Financial Planning - Western Sydney University ~ Master of Financial Planning - Western Sydney University |
| Emma Frances Duffey | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Arts/Bachelor of Commerce - The University of New England ~ Diploma of Financial Services (Financial Planning) - ThreeSixty - GWM Adviser Services Ltd ~ Margin Lending - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Robert Julius Beutum | 2003 | Diploma of Accounting - North Sydney Technical College ~ Diploma of Financial Planning - RMIT University ~ Margin Lending - Colonial ~ Responsible Officer - Gold Seal |