Wells Fargo Bank, National Association

• Principal Place of Business

  33 King William Street

  London

  EC4R 9AT

  UNITED KINGDOM

  Phone

  +4402039428000

  Web

  https://www.wellsfargo.com

• Complaints Contact

  33 King William Street

  London

  EC4R 9AT

  UNITED KINGDOM

  Phone

  +4402039428000

• Bank Deposits

  For All, Deposit

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Spread Bet, Structured Deposits, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

  For Eligible Counterparty, Professional, Retail (Investment)

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Spread Bet, Structured Deposits, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Spread Bet, Structured Deposits, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Spread Bet, Structured Deposits, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Dirk Kaiser

  IRN DXK00311

  • [FCA CF] Client dealing (since 26 May 2023)
  • [FCA CF] Material risk taker (26 May 2023 to 31 Mar 2025)
• Dominik Daniel Kania

  IRN DXK00366

  • [FCA CF] Client dealing (16 Apr 2024 to 7 Oct 2025)
• Duncan Charles Frost

  IRN DCF01029

  • CF30 Customer (20 Mar 2010 to 6 Mar 2016)
• Edgar Tan

  IRN EXT00242

  • [FCA CF] Client dealing (since 7 Aug 2025)
• Edmond Otieno Lelo

  IRN EOL01001

  • CF29 Significant management (20 Jul 2010 to 14 Aug 2012)
• Edward John Stacey

  IRN EJS01022

  • CF30 Customer (20 Sep 2013 to 1 Jul 2015)
• Edward John William Coulson

  IRN EJC01046

  • [FCA CF] Manager of certification employee (since 1 Mar 2023)
  • [FCA CF] Algorithmic trading (since 23 Feb 2022)
  • [FCA CF] Client dealing (since 23 Feb 2022)
  • [FCA CF] Material risk taker (23 Feb 2022 to 20 May 2022)
• Elizabeth Beasley

  IRN EXH01255

  • SMF17 Money Laundering Reporting Officer (MLRO) (21 Apr 2016 to 9 Jun 2017)
  • CF11 Money Laundering Reporting (20 Mar 2010 to 2 May 2013)
• Elizabeth Catherine McGowan

  IRN ECM01039

  • CF30 Customer (28 Jan 2014 to 6 Mar 2016)
• Ellen Lam Law

  IRN EXL00187

  • [FCA CF] Client dealing (1 Aug 2023 to 26 Jun 2025)

No changes recorded yet.