Disclosure Statement
(Financial Adviser)

Name of Financial Adviser:                   Alan Norman Edward Pumfleet (Also known as Alan Fleet)

 

Address:                                                41A Alberta Street, Pt Chevalier, Auckland

 

Trading Name                                       Alan Fleet & Associates Ltd trading as SHARE

 

Mobile Phone:                                       021 683 787

 

Email address:                                      alan.fleet@sharenz.com

 

This disclosure statement was prepared on 3rd November 2016

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.

 

What sort of adviser am I?

 

I am a registered, but not authorised, financial adviser.

 

I can give you advice about:

 

  • A contract of insurance (to cover financial consequences of untimely death or disability or illness), an investment linked contract of insurance (which is not a security), and a policy of life or endowment or annuity issued before 1 January 2009.

 

 

What should you do if something goes wrong?

 

If you have a problem, concern, or complaint about any part of my service, please tell my internal complaints scheme so that my internal complaints scheme can try to fix the problem.

 

You may contact the SHARE internal complaints scheme by contacting the SHARE Board on 0508 2 SHARE or email complaints@sharenz.com.

 

If we cannot agree on how to fix the issue, or if you decide not to contact the internal complaints scheme, you can contact Financial Disputes Resolution. This service will cost you nothing and will help us resolve any disagreements.  You can contact Financial Disputes Resolution at:

 

Physical Address: Level 9, 109 Featherston Street, Wellington 6011

Postal Address: Freepost 231075 P.O. Box 5730 Wellington 6145

Email address: enquiries@fdr.org.nz

 

How am I regulated by the Government?

 

You can check that I am a registered financial adviser at http://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, Alan Norman Edward Pumfleet, 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.

 

 

Signed:

 

 

......................................................................

Alan Norman Edward Pumfleet

Registered Financial Adviser

 

Appendices:      A. Client acknowledgement

 

 

Appendix A

 

Client acknowledgement

 

I acknowledge receipt of the Disclosure Statement

dated                /              /                      [day / mo / year] for Alan Norman Edward Pumfleet.

 

 

 

Signed: ……………………………………………….  Date: ………………………

 

 

 

Signed: ……………………………………………….  Date: ……………………….

© Alan Fleet 2020

Mobile Phone: 021 683 787

Visit: www.sharenz.com 

Email: alan.fleet@sharenz.com

AUCKLAND: 41a Alberta Street, Pt Chevalier, 1022
WHANGAREI: 17 Charles Street, Kamo, 0112

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