James Richard Sterndale-smith – Financial Adviser
Adviser identifying number: 347011
Status: Current
Adviser’s ABN:
The year the Financial Adviser first provided advice: 2010
Name of the licence holder: YELLOW BRICK ROAD WEALTH MANAGEMENT PTY LIMITED
Licence number: 323825
Licensee’s ABN: 93128650037
Licence controlled by:
The date the Financial Adviser commenced the appointment: 19/04/2011
The date the Financial Adviser ceased the appointment:
Name of the Authorised Representative: YELLOW BRICK ROAD WEALTH MANAGEMENT PTY LIMITED
Authorised Representative identifying number: 323825
Authorised Representative’s ABN: 93128650037
Disciplinary actions start date against the Financial Adviser:
Disciplinary actions end date against the Financial Adviser:
Disciplinary action type:
Address:
Contact phone number:
Working hours:
Relevant qualifications and training:
- DFP5V1 Tax for Financial Advising (Short Answer Exam) – Kaplan
- Diploma of Financial Services (Financial Planning – Tribeca
- Financial Essentials Margin Lending Accreditation Program – Financial Review
- Self Managed Superannuation Funds – Financial Review
Relevant memberships of professional bodies or industry associations:
James Richard Sterndale-smith is authorised to provide advices on following products:
- Deposit and Payment Products / Non-basic Deposit Products
- Government Debentures, Stocks or Bonds
- Life Products / Investment Life Insurance Products
- Life Products / Life Risk Insurance Products
- Managed Investment Schemes / Managed Investment Schemes, including IDPS
- Retirement Savings Account Products
- Securities
- Superannuation
- Margin Lending Facility / Standard Margin Lending Facility