Stuart And Carlyon Limited

Financial Services Provider

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Parnell

FSPR Registered

FSP Number: FSP44053

NZBN: 9429035033806

Team Size: 5 advisers

Verify on FSPR

About Stuart And Carlyon Limited

What is Stuart And Carlyon Limited?

Stuart And Carlyon Limited is a financial services provider, based in Parnell, with 15 years on the FSPR register, and 5 appointed advisers on file.

How is Stuart And Carlyon Limited regulated?

Stuart And Carlyon Limited is registered on the Financial Service Providers Register (FSPR)as FSP44053, with first registration in 2010. Disputes are handled by Financial Services Complaints Limited. Verify on the FSPR register at fsp-register.companiesoffice.govt.nz.

What does Stuart And Carlyon Limited offer?

Stuart And Carlyon Limited's Public Disclosure Statement lists the following scope of advice: financial planning, investment management. Refer to the original PDS for the binding scope.

Public Disclosure Statement highlights

Full PDS section ↓

Extracted from Stuart And Carlyon Limited's PDS dated 2026-05-18 · PDF source. View original.

Fee structure: mixed
Commission: No
Dispute scheme: FSCL
Services: 2 named
FAQs: 5 answered

Scope of advice

financial planning
investment management

Contact Information

Phone

09 307 2331

Email

Not available

Website

www.stuartcarlyon.co.nz

Address

Suite 2.1,8a Cleveland Rd,Parnell, Auckland,1052,New Zealand

About Stuart and Carlyon Limited

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Public Disclosure Statement

Stuart And Carlyon Limited files a Public Disclosure Statement under FMC Act 2013 s431 · last ingested 2026-05-18 · source format PDF.

→ View Stuart And Carlyon Limited's original disclosure PDF · FA-NZ mirror (Markdown) · facts.json

Fee structure: mixed
Receives commission: No — disclosed in PDS
Dispute resolution scheme: FSCL
Scope of advice (verbatim from PDS): financial planning
investment management
Specialties: Financial Planning
Investments

Hover any specialty to see its source. Self-attest takes priority; PDS-derived next; AI-classified last. For binding regulatory statements refer to the FAP's own current Public Disclosure Statement.

Verbatim quotes from Stuart And Carlyon Limited's PDS (6 fields cited)

Fees

“We charge for advice at the hourly rate of $400 plus GST, including the initial consultation. The fee charged will depend on the nature and scope of the advice or service we provide for you. There is a cost for our financial planning advice and to implement any investment advice. We will outline the estimated cost in a letter of engagement and agree the fees with you before we proceed.”

Commission

“We do not receive any commission paid by any supplier or financial organisation following business placed with them. If any commissions are received, they are rebated to you, or offset against fees.”

Product panel

“Our investment recommendations include products from leading fund managers (based in New Zealand, Australia, the UK and the US) and from highly credit-rated NZ banks, direct shares and fixed interest securities.”

Conflicts of interest

“Stuart Carlyon's remuneration is derived solely from the fees we charge our clients. We do not receive any commission paid by any supplier or financial organisation following business placed with them. If any commissions are received, they are rebated to you, or offset against fees. We do not receive any non-monetary benefits such as travel, accommodation or gifts in return for recommending any investment.”

Scope of advice

“Stuart Carlyon provides our clients with financial planning and investment management services. Our financial planning services use the Financial Planning Standards Board approach to develop strategies to help our clients manage their financial affairs to meet their goals. We provide advice and arrange investments for clients including reviewing existing investments, setting and monitoring the asset allocation in the context of risk and return parameters.”

Dispute resolution

“If we cannot resolve the issue, or if you decide not to use our internal complaints process, you can contact Financial Services Complaints Limited (FSCL). FSCL are an independent, not-for-profit, external resolution scheme and are recognised as a financial ombudsman service.”

Verbatim spans extracted from the source PDS dated 2026-05-18. Each quote was substring-verified against the original document; spans that failed verification were dropped. View source.

Services this firm offers

Named service offerings extracted from Stuart And Carlyon Limited's PDS. Names are verbatim from the source document; descriptions and fee notes are AI-summarised — refer to the original PDS for binding wording.

financial planning and investment management services
Advisory

Financial planning using FPSB approach and non-discretionary investment management including asset allocation review and monitoring.

Fees: Hourly rate of $400 plus GST for advice; retainer fee as % of funds under management for investment management.

For: retail
Investment Management Service
Advisory

Ongoing investment monitoring, administration, reporting and financial situation review for clients.

Fees: Retainer fee expressed as a percentage of funds under management.

For: retail

FAQs from this firm's PDS

Common consumer questions answered in Stuart And Carlyon Limited's Public Disclosure Statement. Answers are verbatim spans from the source document, substring-verified at extract time.

What is the nature and scope of advice provided?

“Stuart Carlyon provides our clients with financial planning and investment management services. Our financial planning services use the Financial Planning Standards Board approach to develop strategies to help our clients manage their financial affairs to meet their goals. We provide advice and arrange investments for clients including reviewing existing investments, setting and monitoring the asset allocation in the context of risk and return parameters. Our investment service is non-discretionary. That is, we require client approval before we proceed with any investment transaction.”

How are fees and expenses charged?

“We charge for advice at the hourly rate of $400 plus GST, including the initial consultation. The fee charged will depend on the nature and scope of the advice or service we provide for you. There is a cost for our financial planning advice and to implement any investment advice. We will outline the estimated cost in a letter of engagement and agree the fees with you before we proceed. Clients who choose our Investment Management Service are charged a retainer fee which covers investment monitoring, administration and reporting. This also covers on-going review of your financial situation. The cost is expressed as a percentage of funds under management.”

Does Stuart Carlyon receive commissions or other incentives?

“Stuart Carlyon's remuneration is derived solely from the fees we charge our clients. We do not receive any commission paid by any supplier or financial organisation following business placed with them. If any commissions are received, they are rebated to you, or offset against fees. We do not receive any non-monetary benefits such as travel, accommodation or gifts in return for recommending any investment.”

How are complaints handled?

“If you are not satisfied with our financial advice service, please tell us so we can address the problem. Please email us at info@stuartcarlyon.co.nz or phone on 09 307 2331. Any complaints are referred to our Compliance Officer who will acknowledge it within 2 business days and record in our register. We will investigate the complaint and seek to resolve it within 10 business days.”

What external dispute resolution scheme is available?

“If we cannot resolve the issue, or if you decide not to use our internal complaints process, you can contact Financial Services Complaints Limited (FSCL). FSCL are an independent, not-for-profit, external resolution scheme and are recognised as a financial ombudsman service. FSCL's service does not cost you anything and they will help resolve the complaint.”

Notes: Facts and product panel are LLM-extracted from the source document (confidence tier B). Verbatim quote block above is Sonnet-extracted then substring-verified against the source markdown. For the authoritative wording, view the original disclosure above. FSPR register entry. FA-NZ is a directory mirror, not a regulator.