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.

• Ingo Matthey

  IRN IXM01723

  • CF30 Customer (2 Dec 2015 to 15 Nov 2018)
• Ioannis Blessios

  IRN IXB00204

  • [FCA CF] Client dealing (24 Nov 2023 to 11 Jun 2024)
• Isaac Delahunty

  IRN IXD00133

  • [FCA CF] Client dealing (since 21 Oct 2024)
• Isabel Rodriguez

  IRN IXR01135

  • CF30 Customer (3 Feb 2014 to 8 Dec 2019)
• Isabella Marie Dohse

  IRN IXD00124

  • [FCA CF] Client dealing (since 2 Jul 2024)
• Izabela Ciborowska

  IRN IXC01223

  • CF30 Customer (3 Apr 2013 to 2 Dec 2014)
• JAKOB CLAAS WIGGERT

  IRN JCW01219

  • CF30 Customer (13 Nov 2012 to 6 Jan 2016)
• JAMES BOYLE NIVEN

  IRN JBN01010

  • [FCA CF] Manager of certification employee (since 5 Aug 2022)
  • [FCA CF] Client dealing (since 5 Aug 2022)
  • [FCA CF] Material risk taker (since 5 Aug 2022)
  • [FCA CF] Significant management (since 5 Aug 2022)
  • [PRA CF] Managing a material risk taker (5 Aug 2022 to 20 Sep 2022)
• Jack Burr

  IRN JXB00914

  • [FCA CF] Client dealing (since 14 Oct 2021)
• Jack Norman Alfred Britland-Whiting

  IRN JXB01188

  • [FCA CF] Client dealing (since 22 Nov 2024)
  • [FCA CF] Client dealing (28 Sep 2022 to 22 Jul 2024)

No changes recorded yet.