Primary Disclosure Statement Harish Negi
Name and registration number of Harish Negi
| Authorised Financial Adviser: |
FSP640269 |
| Address: |
65/559 Adelaide Road, Berhampore, Wellington, 6023, New Zealand |
| Business Name: |
Numero Uno Financial Planning Services Limited |
| Telephone number: |
+ 64 223 100 573 |
| Fax number: |
NIL |
| Email address: |
[email protected] |
THIS DISCLOSURE STATEMENT WAS PREPARED ON: 01 June 2020 (v3)
It is important that you read this document.
This information will help you to choose a financial adviser that best suits your needs. It will also provide some useful information about the financial adviser that you choose.
In addition to the information that I must disclose to you in this statement, I must also disclose other information to you in a separate disclosure statement (or statements), including information about the types of services that I provide, the fees that I charge, and any actual or potential conflicts of interest. If I have not provided that information to you at the same time as I give you this statement, I must provide it to you as soon as I can.
What sort of adviser am I?
I am an Authorised Financial Adviser. This means I have been authorised by the Financial Markets Authority (the government agency that monitors financial advisers) to provide the financial adviser services described below.
How can I help you?
I have been authorised to provide you with financial adviser services of the following categories:
✓ Financial advice
✓ Investment planning services
When I do this, I will be able to give you advice about:
X Financial products provided by only 1 organisation:
X Financial products provided by a small number of organisations (2 to 5 organisations):
✓ Financial products provided by a broad range of organisations (more than 5 organisations).
How do I get paid for the services that I provide to you?
Payment Type
|
Description
|
| X Fees only |
My services are only paid for by the fees that you pay. I do not receive payments from other people or organisations that might influence my advice. |
| ✓ Fees |
My services are paid for by the fees that you pay as well as in other ways. |
| ✓ Commissions |
There are situations in which NUFPS will be paid by other organisations. How much that payment will be depends on the decisions that you make. |
| ✓ Extra payments from NUFPS |
I may receive extra payments from my employer depending upon the decisions that you make. |
| ✓ Non-financial benefits |
Other organisations may give my employer and me non-financial benefits from other organisations depending on the decisions that you make. |
I am required to tell you the specific fees, commissions, extra payments, and other benefits that I have received or will, or may, receive in relation to the services that I provide to you. I must tell you these things before I give you advice or, if that is not practicable, as soon as practicable after I give you that advice.
What are my obligations?
As an Authorised Financial Adviser, I must comply with the Code of Professional Conduct for Authorised Financial Advisers. I also have other obligations under the Financial Advisers Act 2008 (including regulations made under that Act) and under the general law.
What should you do if something goes wrong?
If you have a problem, concern, or complaint about any part of my service, please tell us so that we can try to fix the problem.
You may contact the internal complaints scheme by
Writing to:
65/559 Adelaide Road, Berhampore, Wellington, 6023, New Zealand
Email at:
[email protected]
If we cannot agree on how to fix the issue, or if you decide not to use the internal complaints scheme, you can contact FINANCIAL SERVICES COMPLAINTS LIMITED (FSCL)
This service will cost you nothing and will help us resolve any disagreements. You can contact the FINANCIAL SERVICES COMPLAINTS LIMITED (FSCL) at:-
Address: PO Box 5967 Wellington 6140
Telephone: 0800 347 257 +64 4 472 3725
Email: [email protected]
If you need to know more, where can you get more information?
If you have a question about anything in this disclosure statement or you would like to know anything more about me, please ask me.
If you have a question about financial advisers generally, you can contact the Financial Markets Authority.
How am I regulated by the Government?
You can check that I am a registered financial services provider and an Authorised Financial Adviser at http://www.fspr.govt.nz
The Financial Markets Authority authorises and regulates financial advisers. Contact the Financial Markets Authority for more information, including financial tips and warnings.
You can report information or complain about my conduct to the Financial Markets Authority, but in the event of a disagreement, you may choose to first use the dispute resolution procedures described above (under What should you do if something goes wrong?).
Declaration
I, Harish Negi declare that, to the best of my knowledge and belief, the information contained in this disclosure statement is true and complete and complies with the disclosure requirements in the Financial Advisers Act 2008 and the Financial Advisers (Disclosure) Regulations 2010.
