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.

• Daniel Goodman

  IRN DXG01717

  • [FCA CF] Manager of certification employee (1 Aug 2023 to 18 Jun 2025)
  • [FCA CF] Client dealing (10 Jun 2022 to 18 Jun 2025)
  • [FCA CF] Material risk taker (10 Jun 2022 to 28 Feb 2023)
• Daniel Jerome Thomas, Jr.

  IRN DXT18381

  • Director of firm who is not a certification employee or a SMF manager (10 Mar 2022 to 31 Jul 2025)
  • SMF9 Chair of the Governing Body (14 May 2020 to 9 Mar 2022)
• Daniel Williams James Cruickshank

  IRN DWC01123

  • CF30 Customer (26 Jun 2008 to 8 Oct 2010)
• Daniel Wrobel

  IRN DXW01435

  • [FCA CF] Significant management (9 Dec 2019 to 11 May 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 11 May 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 11 May 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 11 May 2023)
  • CF29 Significant management (29 Aug 2017 to 8 Dec 2019)
  • CF30 Customer (22 Feb 2017 to 8 Dec 2019)
• Darren Burchett

  IRN DMB01139

  • CF30 Customer (11 Feb 2008 to 21 Jul 2014)
• Darren Simon Ansell

  IRN DSA01035

  • CF30 Customer (5 Jul 2010 to 5 Nov 2010)
• David Gopal

  IRN DXG01355

  • CF21 Investment Adviser (3 Sep 2003 to 1 Jul 2005)
• David Howard Phillips

  IRN DHP01020

  • CF30 Customer (1 Nov 2007 to 18 Sep 2009)
  • CF21 Investment Adviser (29 Aug 2007 to 31 Oct 2007)
• David James Allen

  IRN DJA01084

  • CF30 Customer (1 Nov 2007 to 27 Jan 2012)
  • CF21 Investment Adviser (14 Aug 2007 to 31 Oct 2007)
  • CF26 Customer Trading (30 Jan 2007 to 14 Aug 2007)
• David Leslie Nielsen

  IRN DLN01010

  • CF1 Director (25 Jul 2006 to 19 Mar 2009)

No changes recorded yet.