Waseem Herwitker

Reference number: 589584

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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.

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.

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
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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 firm
    Protection 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, free
    You 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)
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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?
Waseem Herwitker (FRN 589584) is not directly authorised. It is an appointed representative acting under the responsibility of a directly authorised principal firm.
What does appointed representative mean for Waseem Herwitker?
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.
What is Waseem Herwitker’s phone number and website?
The FCA register lists the phone number 07476 256331 and the website earlswoodwm.co.uk for Waseem Herwitker. If you were given different contact details, use these to check with the firm before going any further.
Is Waseem Herwitker a scam or clone?
Waseem Herwitker is a genuine FCA-listed firm, and the FCA has published no warnings about fake versions of it. Scammers do copy real firms, though, so check that any contact details you were given match the ones on the register.
Is my money safe with Waseem Herwitker?
Protection works through Quilter Financial Services Limited, the principal firm responsible for Waseem Herwitker's regulated activity. FSCS cover and the Financial Ombudsman Service apply as they would to the principal.
Does Waseem Herwitker use any other names?
It trades as Earlswood Wealth Management and LG Financial Planning. It has previously used 3 other names: First Alliance Wealth Management Ltd, First Alliance Financial Services and LG Wealth Management.

Sources and links

The full report on Waseem Herwitker

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