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.

• Jack Timothy Boswell

  IRN JXB01234

  • [FCA CF] Client dealing (since 30 Nov 2022)
• Jacqueline Alexander

  IRN JXA81834

  • SMF4 Chief Risk (2 Oct 2020 to 28 Jan 2021)
• Jacqueline Amanda Whiten

  IRN JAW01244

  • CF21 Investment Adviser (21 Feb 2006 to 21 Apr 2006)
• James Buchanan

  IRN JXB03338

  • [FCA CF] Manager of certification employee (since 1 Mar 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (8 Dec 2016 to 8 Dec 2019)
• James Corkill Hebert

  IRN JCH01147

  • CF21 Investment Adviser (8 Jul 2003 to 1 Jul 2005)
• James Craig Johnston

  IRN JCJ01043

  • CF1 Director (9 Jan 2012 to 24 Dec 2015)
  • CF3 Chief Executive (9 Jan 2012 to 14 Oct 2015)
• James Douglas Marriott

  IRN JDM01099

  • [FCA CF] Client dealing (since 10 Nov 2021)
  • [FCA CF] Manager of certification employee (since 10 Nov 2021)
  • [FCA CF] Material risk taker (since 10 Nov 2021)
  • [FCA CF] Significant management (since 10 Nov 2021)
• James Francis McCaffrey

  IRN JFM01140

  • CF30 Customer (19 May 2017 to 1 Oct 2019)
• James Gray

  IRN JXG01806

  • CF30 Customer (3 Jul 2009 to 15 May 2013)
  • CF29 Significant management (30 Mar 2009 to 15 May 2013)
• James Hawkins

  IRN JXH00382

  • [FCA CF] Manager of certification employee (since 19 Mar 2026)
  • [FCA CF] Client dealing (since 22 May 2025)

No changes recorded yet.