Financial Disclosure Statement - John Rae

 

PRIMARY DISCLOSURE STATEMENT
Name of Financial Adviser: John Adam Rae
Financial Services Provider Number: FSP78182
Physical Address: 177 Courtenay St, New Plymouth 4310
Postal Address: PO Box 4234, New Plymouth 4340
Trading Name: JRI Limited
Phone Number: 06 758 8440
Email Address: john@jri.co.nz
Disclosure Prepared On: 05 February 2019

 

It is important 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 service provider 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 advice and investment planning services.

 

When I do this, I will be able to give you advice about:

- Financial products provided by only 1 organisation

- Financial products provided by a small number of organisations (2 - 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?

Commissions - There are situations in which I will be paid by other organisations. How much that payment will be depends on the decisions that you make.

Non-financial benefits from other organisations - Other organisations may give me non-financial benefits 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 you. I must tell you these things before I provide a service or, if that is not practicable, as soon as practicable after I provide that service.

 

What are my obligations?

As an Authorised Financial Advisor, 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 me so I can try to fix the problem. You may contact the internal complaints scheme in writing to the Internal Disputes Resolution. Your letter would outline the issues and the nature of your concerns. If we cannot agree on how to fix the issue, or if you decide not to use the internal complaints scheme, you can contact the Financial Disputes Resolution Scheme (FDRS). This service will cost you nothing, and will help us resolve any issues.

You can contact the FDRS at:

Email enquiries@fdrs.org.nz
Website www.fdrs.org.nz
Freephone 0508 377 377
Fax 04 918 4901
Address Freepost 231075, PO Box 2272, Wellington 6140

 

 

 

 

 

If you need to know more, where can you get more information?

If you have a question about anything in this disclosure statement or would like to know anything more, 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 adviser at www.fspr.govt.nz. The Financial Markets Authority 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, John Adam Rae 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 Act 2010.


 

 

 

John Rae

Director

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