Appointed representative
Waseem Herwitker does not hold FCA authorisation of their own, and acts under a principal firm, which is legally responsible for their regulated business.
Responsible principal firm
Quilter Financial Services Limited Reference number: 440703 View firm →What does this mean?
- An appointed representative (AR) can carry out regulated financial services, but is not directly authorised by the FCA. A principal firm holds the authorisation and is legally responsible for the AR's conduct.
- Waseem Herwitker (FRN 589584) is an AR of Quilter Financial Services Limited (FRN 440703). When you use Waseem Herwitker's services, the FCA authorisation sits with the principal firm.
- Example: if you take financial advice from Waseem Herwitker, complaints and compensation usually follow the same rules as dealing with the principal, but this depends on the product and your circumstances.
- Before you proceed, confirm contact details match the official FCA register for both firms. Scammers sometimes clone legitimate AR names and FRNs but use fake phone numbers and websites.
Website, phone number and address
Compare these against whatever you were given. Scammers clone real firm names and reference numbers but use their own phone number and website, so a detail that does not match the register is the clearest warning sign there is.
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Phone number
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Address
38 Ferndown, Northwood, Middlesex, HA6 1PH, United Kingdom
In the full report: 3 background checks
- When earlswoodwm.co.uk first appeared online, and whether it can receive email
- What kind of line 07476 256331 is
- Who else gives the postcode HA6 1PH
Other names (5)
If you were contacted under any of these names, it is this firm.
- Earlswood Wealth Management Trading name: A name it trades under now.
- LG Financial Planning Trading name: A name it trades under now.
- First Alliance Wealth Management Ltd Former name: A name it was registered under before.
- First Alliance Financial Services Former trading name: A name it used to trade under.
- LG Wealth Management Former trading name: A name it used to trade under.
FCA permissions and consumer protection
- Protection through the principal firmProtection works through Quilter Financial Services Limited, the principal firm responsible for this firm's regulated activity. FSCS cover and the Financial Ombudsman Service apply as they would to the principal.
- Complaints Ombudsman, freeYou can refer a complaint about this firm to the Financial Ombudsman Service for free, whichever activity it relates to.
FCA disciplinary action and complaints
No FCA disciplinary action.
The Financial Ombudsman Service only publishes complaint figures for firms with 30 or more new complaints in six months, so there are none here for this firm.
Key dates in its history
Waseem Herwitker’s history from the FCA register and Companies House, newest first.
2017
3 January 2017
- Changed its registered name from "First Alliance Wealth Management Ltd"
FCA register
2016
14 April 2016
- Changed its registered name from "Waseem Herwitker"
FCA register
2012
10 October 2012
- Became an appointed representative
FCA register
In the full report: all 9 events
- All 9 events in its history (3 shown here)
Firms like Waseem Herwitker
Other firms of the same type (financial adviser), nearest first.
In Northwood
Firms are listed by type and location, best known first. Being listed is not a recommendation: check any firm before you deal with it.
Get the full report on Waseem Herwitker
Everything on this page, plus everything locked above, in one dated PDF you can keep, file or send on.
- 3 background checks on its contact details
- All 9 events in its history
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Frequently asked questions about this firm
Is Waseem Herwitker FCA authorised?
What does appointed representative mean for Waseem Herwitker?
What is Waseem Herwitker’s phone number and website?
Is Waseem Herwitker a scam or clone?
Is my money safe with Waseem Herwitker?
Does Waseem Herwitker use any other names?
Sources and links
- Its entry on the FCA register register.fca.org.uk
- Complaints the Financial Ombudsman Service can help with financial-ombudsman.org.uk
- Report a scam to the FCA fca.org.uk