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 Robert Lobo

  IRN CRL01030

  • CF29 Significant management (28 Jul 2009 to 24 Sep 2015)
  • CF30 Customer (21 Jul 2008 to 6 Jul 2016)
• Christopher Sean Chandler

  IRN CSC01068

  • CF30 Customer (15 Jul 2008 to 13 Nov 2014)
• Christopher William Pink

  IRN CXP01128

  • CF30 Customer (1 Nov 2007 to 1 Jun 2018)
  • CF21 Investment Adviser (8 Apr 2003 to 31 Oct 2007)
• Claire Hatherley

  IRN CXH01235

  • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2003)
• Clare Jones

  IRN CXJ01294

  • SMF16 Compliance Oversight (since 30 Jan 2025)
  • [FCA CF] Significant management (7 Dec 2023 to 30 Jan 2025)
  • [FCA CF] Material risk taker (7 Dec 2023 to 30 Jan 2025)
• Clement Aymeric Maurice Sterlin

  IRN CXS00661

  • [FCA CF] Client dealing (30 Nov 2022 to 2 Aug 2024)
• Clinton Riggs Daly

  IRN CRD01046

  • CF21 Investment Adviser (14 Jun 2002 to 12 May 2005)
  • CF26 Customer Trading (14 Jun 2002 to 12 May 2005)
  • CF1 Director (1 Mar 2002 to 12 May 2005)
• Colleen Patricia McCullum

  IRN CPM01133

  • CF1 Director (4 Dec 2012 to 26 Jun 2014)
  • CF28 Systems and controls (24 Aug 2011 to 1 Jul 2014)
• Con Michael Creedon

  IRN CXC00730

  • [FCA CF] Client dealing (since 14 Sep 2023)
• Conor Joseph Treacy

  IRN CJT01188

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (11 Apr 2016 to 8 Dec 2019)

No changes recorded yet.