Wells Fargo Securities International Limited

• Principal Place of Business

  33 King William Street

  London

  EC4R 9AT

  UNITED KINGDOM

  Phone

  +442039428000

• Complaints Contact

  33 King William Street

  London

  EC4R 9AT

  UNITED KINGDOM

  Phone

  +442039428000

• 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, Share, Spread Bet, Unit, 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

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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, Share, Spread Bet, Unit, 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, Share, Spread Bet, Unit, 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, Share, Spread Bet, Unit, 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, Share, Spread Bet, Unit, 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.

• Charlotte Jane Weir

  IRN CJW01146

  • [FCA CF] Manager of certification employee (since 11 Apr 2023)
  • [FCA CF] Material risk taker (since 1 Jan 2023)
  • [FCA CF] Client dealing (since 10 Nov 2021)
  • [FCA CF] Significant management (since 10 Nov 2021)
• Chenyue Cai

  IRN CXC00639

  • [FCA CF] Client dealing (since 4 Mar 2026)
• Chiara Giacomini

  IRN CXG01339

  • [FCA CF] Client dealing (8 Oct 2020 to 24 Nov 2023)
• Chirag Piyush Shah

  IRN CXS01708

  • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
  • CF21 Investment Adviser (19 Oct 2007 to 31 Oct 2007)
• Christian Alexander Wolfgang Kadel

  IRN CAK01073

  • CF30 Customer (26 Oct 2017 to 31 Aug 2018)
• Christine Brooke Kroncke MEYERS

  IRN CBM01055

  • SMF4 Chief Risk (9 Dec 2019 to 2 Jun 2020)
  • SMF3 Executive Director (9 Dec 2019 to 2 Jun 2020)
  • CF28 Systems and controls (6 Mar 2018 to 8 Dec 2019)
  • CF1 Director (6 Mar 2018 to 8 Dec 2019)
• Christine Marie Kok

  IRN CXK00342

  • [FCA CF] Client dealing (since 7 Aug 2025)
• Christodoulos Nicodemou

  IRN CXN01059

  • CF21 Investment Adviser (30 Sep 2002 to 22 Sep 2003)
  • CF26 Customer Trading (30 Sep 2002 to 22 Sep 2003)
• Christoph Michael Schwarz

  IRN CMS01136

  • CF21 Investment Adviser (2 Mar 2005 to 3 Apr 2007)
• Christopher Alan Serven

  IRN CAS01239

  • CF30 Customer (8 Jun 2015 to 1 Nov 2018)

No changes recorded yet.