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.

• James Lee Sigman

  IRN JLS01120

  • CF21 Investment Adviser (29 Aug 2003 to 1 Jul 2005)
• James Michael Anthony Wynne

  IRN JXW02654

  • CF30 Customer (21 May 2018 to 8 Dec 2019)
• James Patrick O'Neill

  IRN JPO01015

  • SMF1 Chief Executive (since 26 Apr 2022)
  • [FCA CF] Material risk taker (9 Aug 2020 to 14 Mar 2024)
• James Robert Buckle

  IRN JRB01219

  • CF30 Customer (1 Nov 2007 to 15 May 2009)
  • CF21 Investment Adviser (10 May 2004 to 31 Oct 2007)
• Jane Young

  IRN JXY44624

  • [FCA CF] Material risk taker (20 Aug 2020 to 19 Jun 2022)
• Janete Angelina Pomacal

  IRN JXP00744

  • [FCA CF] Client dealing (since 13 Dec 2022)
• Jaspa Marcus Douse

  IRN JXD00925

  • [FCA CF] Client dealing (since 3 Sep 2025)
  • [FCA CF] Manager of certification employee (27 Jul 2024 to 10 Jul 2025)
• Javier Villanueva

  IRN JXV01137

  • CF30 Customer (1 Nov 2007 to 15 May 2009)
  • CF21 Investment Adviser (11 Sep 2007 to 31 Oct 2007)
• Jawad Ahmed

  IRN JXA00486

  • [FCA CF] Client dealing (5 Jan 2023 to 29 Jun 2023)
• Jeffrey Asante

  IRN JXA00310

  • [FCA CF] Client dealing (since 2 Jul 2021)

No changes recorded yet.