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.

• David M. Schiff

  IRN DMS01173

  • CF21 Investment Adviser (10 Sep 2003 to 1 Jul 2005)
• David Paul Sellen

  IRN DXS01488

  • CF30 Customer (28 Mar 2019 to 8 Dec 2019)
• David Poremba

  IRN DXP01837

  • CF30 Customer (5 Sep 2013 to 1 Oct 2019)
• David Rauch

  IRN DXR01372

  • CF30 Customer (1 Nov 2007 to 15 Jun 2009)
  • CF21 Investment Adviser (15 Oct 2003 to 31 Oct 2007)
• David Robert Little

  IRN DRL01035

  • CF30 Customer (1 Nov 2007 to 4 Apr 2009)
  • CF26 Customer Trading (24 Feb 2006 to 31 Oct 2007)
• Dean Alan Cutbush

  IRN DAC01186

  • CF30 Customer (1 Nov 2007 to 5 Jul 2011)
  • CF21 Investment Adviser (18 Dec 2003 to 31 Oct 2007)
• Deborah Noemie Cukierman

  IRN DNC01041

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (6 Jun 2005 to 31 Oct 2007)
• Deirdre Elizabeth Flood

  IRN DEF01037

  • CF1 Director (24 Jun 2014 to 8 Jan 2018)
  • CF30 Customer (30 Dec 2008 to 30 Apr 2019)
• Desmond Jonah Mussen Martin

  IRN DXM01269

  • [FCA CF] Client dealing (since 10 Dec 2025)
• Didier Kofi Owusu-Sarpong

  IRN DXO01203

  • [FCA CF] Manager of certification employee (since 22 Apr 2024)
  • [FCA CF] Client dealing (since 3 Apr 2023)
  • [FCA CF] Material risk taker (since 20 Mar 2023)

No changes recorded yet.