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.

• Christopher Bartlett

  IRN CXB01939

  • CF1 Director (7 Jul 2010 to 27 Aug 2012)
• Christopher Damian Fay

  IRN CDF01025

  • CF29 Significant management (1 Nov 2007 to 31 May 2012)
  • CF30 Customer (1 Nov 2007 to 31 May 2012)
  • CF16 Significant Mgt (Desgntd Investment Business) (6 Feb 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (6 Feb 2007 to 31 Oct 2007)
• Christopher David Bolton

  IRN CDB01109

  • CF30 Customer (1 Nov 2007 to 18 Jul 2008)
  • CF21 Investment Adviser (11 Jun 2004 to 31 Oct 2007)
• Christopher George Smith

  IRN CGS01055

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (20 May 2008 to 8 Dec 2019)
• Christopher Gregory Michael Gillett

  IRN CGG01030

  • CF30 Customer (4 Dec 2014 to 6 May 2016)
• Christopher James Tucker

  IRN CJT01192

  • CF30 Customer (21 Mar 2017 to 8 Dec 2019)
• Christopher John Edkins

  IRN CJE01071

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2022)
  • CF30 Customer (11 Dec 2017 to 8 Dec 2019)
• Christopher John Towell

  IRN CJT01054

  • CF30 Customer (1 Nov 2007 to 30 Oct 2009)
  • CF21 Investment Adviser (6 Feb 2002 to 31 Oct 2007)
• Christopher Martin

  IRN CXM01566

  • CF30 Customer (8 May 2009 to 5 Jul 2011)
  • CF21 Investment Adviser (13 May 2004 to 26 Sep 2005)
  • CF22 Investment Adviser (Trainee) (23 Jun 2003 to 4 Aug 2003)
• Christopher Paul Allen

  IRN CPA01014

  • CF30 Customer (1 Nov 2007 to 31 Jul 2009)
  • CF21 Investment Adviser (18 May 2007 to 31 Oct 2007)

No changes recorded yet.