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.

• Galen Moloney

  IRN GTM01043

  • [FCA CF] Client dealing (4 Jul 2022 to 13 Apr 2026)
• Geoffrey Guillemard

  IRN GXG01324

  • [FCA CF] Client dealing (since 4 Jul 2022)
• George Robson

  IRN GJR01056

  • [FCA CF] Client dealing (since 22 Jul 2025)
• Gerhard Ernst-August Kurt Von Dem Hagen

  IRN GEV01001

  • CF30 Customer (28 Oct 2013 to 6 Mar 2016)
• Giang Nguyen-Hoang

  IRN GXN01116

  • [FCA CF] Client dealing (7 Dec 2017 to 1 Feb 2024)
• Giovanni Maffei

  IRN GXM75169

  • [FCA CF] Manager of certification employee (16 Apr 2024 to 13 Sep 2024)
  • [FCA CF] Client dealing (1 Mar 2023 to 13 Sep 2024)
• Gregory Langdon Smith

  IRN GLS01078

  • [FCA CF] Material risk taker (since 26 Oct 2021)
  • [FCA CF] Significant management (since 26 Oct 2021)
  • [FCA CF] Manager of certification employee (1 Dec 2023 to 2 Sep 2024)
• Guan Siew Lee

  IRN GSL01056

  • CF30 Customer (6 Dec 2012 to 29 Apr 2015)
• Hans Thomas Rapp

  IRN HTR00004

  • CF29 Significant management (30 Jan 2013 to 6 Mar 2016)
• Harvey John Hoogakker

  IRN HJH01024

  • [FCA CF] Significant management (since 14 Jun 2022)
  • [FCA CF] Client dealing (since 1 Mar 2017)
  • [FCA CF] Manager of certification employee (since 1 Mar 2017)
  • CF30 Customer (7 Aug 2013 to 6 Mar 2016)

No changes recorded yet.