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

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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.

• Jacqueline Alexander

  IRN JXA81834

  • SMF4 Chief Risk (2 Oct 2020 to 28 Jan 2021)
• Jafar Altaf Amin

  IRN JAA01193

  • CF29 Significant management (9 May 2014 to 6 Mar 2016)
• James Craig Johnston

  IRN JCJ01043

  • CF3 Chief Executive (16 Jan 2012 to 24 Dec 2015)
• James Douglas Marriott

  IRN JDM01099

  • [FCA CF] Manager of certification employee (since 1 Aug 2023)
• James Gray

  IRN JXG01806

  • [FCA CF] Material risk taker (since 5 Feb 2026)
  • CF30 Customer (20 Mar 2010 to 15 May 2013)
  • CF29 Significant management (20 Mar 2010 to 15 May 2013)
• James Michael Anthony Wynne

  IRN JXW02654

  • [FCA CF] Client dealing (7 Mar 2016 to 10 Nov 2020)
• James Patrick O'Neill

  IRN JPO01015

  • SMF3 Executive Director (since 27 Feb 2026)
  • SMF22 Other Local Responsibility (since 21 Dec 2022)
  • [FCA CF] Material risk taker (8 Sep 2020 to 14 Mar 2024)
• Jane Clare Grier

  IRN JCG01152

  • SMF17 Money Laundering Reporting Officer (MLRO) (16 Aug 2017 to 13 Feb 2018)
• Jane Young

  IRN JXY44624

  • [FCA CF] Significant management (18 Oct 2017 to 19 Jun 2022)
  • [FCA CF] Material risk taker (18 Oct 2017 to 19 Jun 2022)
• Janete Angelina Pomacal

  IRN JXP00744

  • [FCA CF] Client dealing (since 13 Dec 2022)

No changes recorded yet.