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.

• Rahul Desai

  IRN RXD01693

  • [FCA CF] Client dealing (13 Jun 2022 to 23 Jun 2025)
  • [FCA CF] Algorithmic trading (1 Mar 2020 to 23 Jun 2025)
• Rahul Rajesh

  IRN RXR01597

  • [FCA CF] Manager of certification employee (since 11 Apr 2023)
  • [FCA CF] Significant management (since 10 Nov 2021)
  • [FCA CF] Client dealing (since 10 Nov 2021)
  • [FCA CF] Material risk taker (since 10 Nov 2021)
• Rakesh Haresh Harjani

  IRN RHH01057

  • [FCA CF] Client dealing (since 2 Oct 2025)
• Ran Shi

  IRN RXS01546

  • [FCA CF] Material risk taker (16 Aug 2022 to 1 Nov 2022)
  • [FCA CF] Client dealing (16 Aug 2022 to 23 Nov 2022)
  • CF30 Customer (31 Mar 2015 to 6 Mar 2016)
• Rebecca Elizabeth Kwee

  IRN REK01008

  • CF30 Customer (25 Jun 2015 to 29 Dec 2015)
• Riccardo Donati

  IRN RID01013

  • [FCA CF] Manager of certification employee (1 Mar 2023 to 12 Apr 2024)
  • [FCA CF] Client dealing (13 Apr 2022 to 12 Apr 2024)
  • [FCA CF] Material risk taker (13 Apr 2022 to 8 Jun 2022)
• Richard Alen Keating

  IRN RAK01073

  • CF30 Customer (20 Mar 2010 to 28 Jan 2011)
  • CF29 Significant management (20 Mar 2010 to 28 Jan 2011)
• Richard Cullen Powell

  IRN RCP01092

  • CF29 Significant management (13 May 2013 to 18 Nov 2013)
• Richard Fairhurst

  IRN RXF44614

  • [FCA CF] Significant management (since 19 Aug 2019)
• Richard Michael Lee

  IRN RXL01195

  • [FCA CF] Client dealing (1 Mar 2018 to 29 Apr 2024)
  • [FCA CF] Manager of certification employee (1 Mar 2018 to 29 Apr 2024)
  • [FCA CF] Significant management (1 Mar 2018 to 29 Apr 2024)
  • 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)

No changes recorded yet.