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.

• Joel L Katz

  IRN JLK01074

  • [FCA CF] Client dealing (6 Dec 2017 to 4 Nov 2021)
• John Evan Langley

  IRN JXL01352

  • SMF19 Head of Overseas Branch/Head of Overseas (17 Oct 2019 to 4 Mar 2024)
• John Lister Walbey

  IRN JLW01085

  • [FCA CF] Client dealing (7 Mar 2016 to 24 Nov 2023)
  • CF30 Customer (20 Mar 2010 to 6 Mar 2016)
• John Stanley Wynn

  IRN JSW01137

  • SMF17 Money Laundering Reporting Officer (MLRO) (13 Feb 2018 to 25 Apr 2018)
• John Trainor

  IRN JXT45320

  • [FCA CF] Material risk taker (9 Jan 2020 to 30 Sep 2021)
• John Wheeler

  IRN JXW45321

  • [FCA CF] Material risk taker (2 Mar 2020 to 30 Sep 2021)
• Jonathan Norton

  IRN JXN01078

  • CF30 Customer (6 Jun 2012 to 12 Nov 2015)
• Jonathan William Liddiard

  IRN JXL44625

  • [FCA CF] Material risk taker (10 Jan 2020 to 15 Jun 2020)
• Jordan Sutcliffe

  IRN JXS75553

  • [FCA CF] Client dealing (21 May 2020 to 7 Jul 2021)
• Jordane Denise Raymonde Burillo

  IRN JDB01273

  • [FCA CF] Client dealing (7 Sep 2018 to 28 Feb 2021)

No changes recorded yet.