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.

• Jeffrey Bryan McCoy

  IRN JBM01068

  • CF21 Investment Adviser (23 May 2002 to 31 Jan 2003)
• Jeffrey Livingston Ginns

  IRN JLG01066

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Jun 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 28 Feb 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 25 Jan 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Jun 2024)
  • CF29 Significant management (26 Jul 2017 to 8 Dec 2019)
  • CF30 Customer (13 Oct 2014 to 8 Dec 2019)
• Jeffrey Thomas Armstrong

  IRN JTA01019

  • CF1 Director (4 May 2006 to 31 May 2006)
• Jelena Rolih

  IRN JXR02009

  • CF30 Customer (19 May 2017 to 1 Mar 2019)
  • CF29 Significant management (31 Mar 2014 to 30 Apr 2019)
• Jella Denise Herzer

  IRN JDH01166

  • CF30 Customer (10 Sep 2009 to 25 May 2010)
• Jennifer Ann Doyle

  IRN JXD01066

  • Director of firm who is not a certification employee or a SMF manager (since 31 Jul 2025)
• Jennifer Ann Robertson

  IRN JAR01239

  • CF30 Customer (3 Dec 2013 to 30 Apr 2019)
• Jens Henning Reinhardt

  IRN JXR01468

  • CF30 Customer (29 Sep 2014 to 28 Feb 2018)
• Jeremy Lee Staudt

  IRN JLS01200

  • SMF5 Head of Internal Audit (since 31 Mar 2026)
  • SMF5 Head of Internal Audit (9 Dec 2019 to 8 Mar 2021)
  • CF28 Systems and controls (7 Apr 2016 to 8 Dec 2019)
• Jeremy Paul Washer

  IRN JXW01365

  • [FCA CF] Client dealing (since 1 Aug 2025)

No changes recorded yet.