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 | 2007 - Diploma of Financial Services (Financial Planning) - - Finsia ~ 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Finsia Education ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy Pty Ltd ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2016 - Determine Client requirements and expectations - Other - Pinnacle ~ 2016 - Provide Advice in Margin Lending - Other - Pinnacle ~ 2016 - Record & implement client instructions - Other - Pinnacle |
| Charles Read | 2003 | 1989 - Bachelor of Economics - - Sydney University ~ 1999 - Diploma of Financial Planning - - Deakin University |
| Daniel James O'connell | 2024 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Canberra ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Western Sydney University |
| Emma Frances Duffey | 2008 | 2006 - Bachelor of Arts/Bachelor of Commerce - - The University of New England ~ 2007 - Diploma of Financial Services (Financial Planning) - - ThreeSixty - GWM Adviser Services Ltd ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Margin Lending - - Kaplan ~ 2013 - Self Managed Superannuation Funds - - Kaplan |
| Robert Julius Beutum | 2003 | 1982 - Diploma of Accounting - - North Sydney Technical College ~ 1996 - Diploma of Financial Planning - - RMIT University ~ 2010 - Responsible Officer - - Gold Seal ~ 2012 - Margin Lending - - Colonial |