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.

• Joseph Kiernan Millist

  IRN JKM01080

  • [FCA CF] Significant management (1 Mar 2021 to 21 Mar 2024)
  • SMF3 Executive Director (22 Apr 2016 to 10 Dec 2020)
  • CF29 Significant management (16 Sep 2015 to 6 Mar 2016)
  • CF10a CASS Oversight function (10 Dec 2014 to 6 Mar 2016)
• Joseph Victor Saffire

  IRN JVS01025

  • CF29 Significant management (25 Jan 2013 to 24 Apr 2014)
• Judith Pearson

  IRN JXP44619

  • [FCA CF] Material risk taker (5 Aug 2022 to 29 Sep 2023)
  • [FCA CF] Manager of certification employee (25 Apr 2017 to 20 May 2022)
  • [FCA CF] Significant management (7 Mar 2016 to 29 Sep 2023)
• Julian Alwyn Daley

  IRN JAD01145

  • SMF19 Head of Overseas Branch/Head of Overseas (7 Mar 2016 to 31 Mar 2017)
  • CF29 Significant management (20 Mar 2010 to 6 Mar 2016)
• Julian Harris Mellini

  IRN JHM01126

  • CF30 Customer (16 Nov 2011 to 3 Jul 2013)
• Julie Marie Celine Rocheron

  IRN JMR01209

  • CF30 Customer (20 Mar 2010 to 2 Sep 2011)
• Keith Andrew White

  IRN KXW00344

  • [FCA CF] Manager of certification employee (since 31 Mar 2025)
  • [FCA CF] Client dealing (since 11 Apr 2023)
• Keith Ntazu Munyama

  IRN KXM00554

  • [FCA CF] Client dealing (since 25 Jan 2023)
• Kelechi Onukogu

  IRN KXO00102

  • [FCA CF] Material risk taker (3 Jan 2022 to 30 Jun 2023)
• Kenneth Petrilla

  IRN KJP01069

  • CF8 Apportionment and Oversight (1 Feb 2007 to 31 Mar 2009)
  • CF3 Chief Executive (1 Feb 2007 to 16 Jan 2012)
  • CF11 Money Laundering Reporting (1 Feb 2007 to 20 Mar 2010)

No changes recorded yet.