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.

• Francesc Lleal Garres

  IRN FXL01151

  • CF30 Customer (7 Dec 2015 to 7 Nov 2018)
• Francesco Cuccovillo

  IRN FXC01076

  • [FCA CF] Client dealing (27 Oct 2021 to 14 Jun 2024)
  • [FCA CF] Manager of certification employee (27 Oct 2021 to 14 Jun 2024)
  • [FCA CF] Material risk taker (27 Oct 2021 to 14 Jun 2024)
  • [FCA CF] Significant management (25 May 2021 to 14 Jun 2024)
• Francis Anthony Pizzo

  IRN FAP01036

  • CF1 Director (24 Dec 2015 to 28 Jun 2019)
• Francis Joseph Markey

  IRN FJM01020

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (14 Mar 2012 to 8 Dec 2019)
• Francisco Rodriguez-Rey

  IRN FXR01025

  • SMF10 Chair of the Risk Committee (9 Dec 2019 to 11 Jun 2021)
  • CF2 Non Executive Director (5 Jul 2017 to 8 Dec 2019)
• Francisco Vilaca Santos Silva

  IRN FXS00285

  • [FCA CF] Client dealing (since 5 Nov 2025)
• Francois Charles Lemaigre

  IRN FCL01005

  • CF30 Customer (1 Nov 2007 to 31 Jul 2008)
  • CF29 Significant management (1 Nov 2007 to 31 Jul 2008)
  • CF16 Significant Mgt (Desgntd Investment Business) (19 Sep 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (27 May 2003 to 31 Oct 2007)
• Frank Julia-Sala

  IRN FXJ01025

  • CF30 Customer (1 Nov 2007 to 4 Jul 2008)
  • CF21 Investment Adviser (4 May 2007 to 31 Oct 2007)
• Frederic Aldo Simkin

  IRN FAS01012

  • CF21 Investment Adviser (18 May 2005 to 21 Aug 2006)
• Frederic Xavier Bloquel

  IRN FXB01252

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Mar 2021)
  • CF30 Customer (19 Mar 2018 to 8 Dec 2019)

No changes recorded yet.