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.

• Thomas Sermon

  IRN TCS01048

  • [FCA CF] Material risk taker (1 Mar 2026 to 2 Mar 2026)
• Tiffany Hudson

  IRN TXS01167

  • CF30 Customer (20 Mar 2010 to 2 Sep 2011)
• Tim Carey

  IRN TXC00029

  • [FCA CF] Material risk taker (since 3 Jun 2024)
• Tina Hennis

  IRN TXH00133

  • [FCA CF] Client dealing (since 5 Mar 2021)
• Toby Christopher Bullivant

  IRN TCB01035

  • CF30 Customer (20 Mar 2010 to 6 Mar 2016)
• Travis Joseph Chernichen

  IRN TJC01215

  • [FCA CF] Material risk taker (27 Apr 2023 to 12 May 2023)
  • [FCA CF] Client dealing (27 Apr 2023 to 12 May 2023)
• Varahe Suresh

  IRN VXS00204

  • [FCA CF] Client dealing (16 Apr 2024 to 14 Aug 2025)
• Velmurugu Mayooran

  IRN VXM21083

  • [FCA CF] Significant management (since 1 Mar 2021)
  • [FCA CF] Material risk taker (1 Jan 2023 to 1 Mar 2025)
  • SMF24 Chief Operations (8 Jan 2020 to 10 Dec 2020)
• Victor Emilion Gauvin

  IRN VEG00004

  • [FCA CF] Manager of certification employee (17 Jan 2023 to 25 Apr 2025)
  • [FCA CF] Client dealing (12 Nov 2021 to 25 Apr 2025)
  • [FCA CF] Material risk taker (12 Nov 2021 to 28 Feb 2023)
• Vincent Richard Lyle

  IRN VXL00085

  • [FCA CF] Client dealing (since 27 Nov 2023)

No changes recorded yet.