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

  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.

• Authorised to Operate

  For Eligible Counterparty, Professional, Retail (Investment)

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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.

• Richard Place

  IRN RXP01477

  • SMF2 Chief Finance (since 15 Sep 2020)
• Richard Sinclair Cope

  IRN RSC01047

  • [FCA CF] Manager of certification employee (since 26 Oct 2021)
  • [FCA CF] Significant management (since 26 Oct 2021)
  • [FCA CF] Client dealing (since 26 Oct 2021)
  • [FCA CF] Material risk taker (26 Oct 2021 to 28 Feb 2023)
• Richard Umberto Cavilli

  IRN RUC01000

  • [FCA CF] Manager of certification employee (27 Nov 2023 to 16 Oct 2025)
  • [FCA CF] Client dealing (26 May 2023 to 16 Oct 2025)
• Rob Hewitt

  IRN RXH00002

  • [FCA CF] Significant management (11 Aug 2020 to 5 Dec 2024)
• Robert Andrew Cohen

  IRN RAC01285

  • CF30 Customer (12 Dec 2012 to 10 Dec 2015)
• Robert Arthur Maddox II

  IRN RAM01272

  • CF29 Significant management (10 May 2013 to 18 Nov 2013)
• Robert James Fernandez

  IRN RJF01095

  • CF29 Significant management (9 Sep 2013 to 6 Mar 2016)
• Robert Ritchie

  IRN RER01020

  • SMF19 Head of Overseas Branch/Head of Overseas (since 4 Mar 2024)
  • [FCA CF] Client dealing (since 1 Jun 2020)
  • SMF3 Executive Director (24 Dec 2020 to 4 Mar 2024)
• Rory Hudson

  IRN RPH01045

  • [FCA CF] Manager of certification employee (since 1 Mar 2026)
  • [FCA CF] Significant management (since 1 Mar 2024)
  • [FCA CF] Material risk taker (since 30 Sep 2020)
  • [FCA CF] Manager of certification employee (1 Mar 2023 to 10 Jun 2024)
  • SMF3 Executive Director (21 Apr 2016 to 15 Sep 2020)
  • CF30 Customer (26 Jun 2015 to 6 Mar 2016)
  • CF29 Significant management (26 Jun 2015 to 6 Mar 2016)
• Rupert Jolley

  IRN RLJ01020

  • [FCA CF] Material risk taker (3 Jan 2022 to 28 Jan 2025)

No changes recorded yet.