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.

• Giorgio Manenti

  IRN GXM02547

  • CF30 Customer (8 May 2017 to 1 Oct 2019)
• Giovanni Maffei

  IRN GXM75169

  • [FCA CF] Manager of certification employee (16 Apr 2024 to 13 Sep 2024)
  • [FCA CF] Client dealing (10 Jun 2022 to 13 Sep 2024)
• Graham Edmunds Tucker

  IRN GET01017

  • CF30 Customer (28 Mar 2012 to 19 Jun 2012)
• Gregory Dieter Adams Herson

  IRN GDH01050

  • CF30 Customer (1 Nov 2007 to 24 Apr 2009)
  • CF21 Investment Adviser (5 Sep 2005 to 31 Oct 2007)
• Gregory Langdon Smith

  IRN GLS01078

  • [FCA CF] Significant management (since 26 Oct 2021)
  • [FCA CF] Manager of certification employee (1 Dec 2023 to 2 Sep 2024)
  • [FCA CF] Material risk taker (26 Oct 2021 to 28 Feb 2023)
• Gregory Rickards

  IRN GMR01067

  • CF30 Customer (1 Nov 2007 to 4 Jul 2008)
  • CF21 Investment Adviser (20 Sep 2005 to 31 Oct 2007)
• Guillaume Laurent Samnick

  IRN GLS01032

  • CF30 Customer (1 Nov 2007 to 15 May 2009)
  • CF21 Investment Adviser (3 Feb 2004 to 31 Oct 2007)
• Guus Vermont

  IRN GXV01086

  • CF21 Investment Adviser (3 Feb 2005 to 20 Jun 2007)
• Hans Henrik Malmer

  IRN HXM01092

  • CF21 Investment Adviser (16 Apr 2004 to 1 Aug 2005)
• Hans Walter Sitarz

  IRN HWS01015

  • CF30 Customer (1 Nov 2007 to 12 Mar 2009)
  • CF21 Investment Adviser (10 Mar 2003 to 31 Oct 2007)

No changes recorded yet.