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.

• Niall Bernard Brady

  IRN NBB01005

  • [FCA CF] Material risk taker (since 4 Mar 2025)
  • [FCA CF] Manager of certification employee (since 18 Sep 2023)
  • [FCA CF] Client dealing (since 13 Jan 2023)
• Niall Patrick O’Brien

  IRN NXO00119

  • [FCA CF] Material risk taker (since 23 Jun 2025)
  • [FCA CF] Algorithmic trading (since 23 Jun 2025)
• Nicholas Harrington

  IRN NXH01329

  • CF30 Customer (20 Mar 2010 to 10 Jul 2015)
• Nicholas Limnell Lyon

  IRN NXL00176

  • [FCA CF] Client dealing (27 Nov 2023 to 22 Jul 2024)
• Nicholas William Bennett

  IRN NWB01022

  • SMF3 Executive Director (30 Nov 2020 to 30 Jun 2022)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 30 Jun 2022)
  • CF30 Customer (19 Jun 2015 to 6 Mar 2016)
  • CF29 Significant management (19 Jun 2015 to 6 Mar 2016)
• Nicola Free

  IRN NXS01333

  • [FCA CF] Significant management (since 27 Jun 2024)
  • [FCA CF] Material risk taker (since 13 Apr 2022)
  • [FCA CF] Client dealing (since 13 Apr 2022)
• Nigel Adams

  IRN NXA19242

  • [FCA CF] Significant management (since 22 Jan 2021)
  • [FCA CF] Manager of certification employee (1 Mar 2024 to 21 Mar 2024)
  • SMF3 Executive Director (12 Nov 2019 to 10 Dec 2020)
• Nigel Broadbery Hogg

  IRN NXH44626

  • [FCA CF] Material risk taker (20 May 2022 to 31 May 2025)
  • [FCA CF] Significant management (14 Jan 2020 to 31 May 2025)
• Nigel John Dyble

  IRN NJD01098

  • [FCA CF] Material risk taker (since 20 May 2022)
  • [FCA CF] Algorithmic trading (since 1 Mar 2020)
  • [FCA CF] Client dealing (since 1 Mar 2018)
  • [FCA CF] Manager of certification employee (since 1 Mar 2018)
  • [FCA CF] Significant management (since 1 Mar 2018)
  • SMF22 Other Local Responsibility (7 Mar 2016 to 20 Feb 2018)
  • CF30 Customer (20 Mar 2010 to 6 Mar 2016)
  • CF29 Significant management (20 Mar 2010 to 6 Mar 2016)
• Nikesh Modha

  IRN NKM01007

  • [FCA CF] Manager of certification employee (since 1 Mar 2023)
  • [FCA CF] Client dealing (since 17 Feb 2022)
  • [FCA CF] Material risk taker (17 Feb 2022 to 20 May 2022)

No changes recorded yet.