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.

• Jessica Crowell Murphy

  IRN JCM01268

  • CF30 Customer (16 Sep 2013 to 12 Dec 2016)
• Jill Marie Enzmann

  IRN JME01036

  • CF21 Investment Adviser (1 Dec 2001 to 3 Jul 2006)
  • CF1 Director (1 Dec 2001 to 3 Jul 2006)
• Jimmy Gupta

  IRN JXG01980

  • [FCA CF] Client dealing (since 6 Jun 2024)
  • [FCA CF] Material risk taker (6 Jun 2024 to 4 Mar 2025)
• Jing Shi

  IRN JXS01201

  • [FCA CF] Client dealing (since 17 Jan 2023)
• Joanne Sonin

  IRN JXS03572

  • CF30 Customer (6 May 2016 to 17 Feb 2017)
• Joel L Katz

  IRN JLK01074

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Nov 2021)
  • CF30 Customer (22 Sep 2017 to 8 Dec 2019)
• John Chappell Laughlin

  IRN JCL01125

  • CF29 Significant management (9 Jul 2010 to 16 Dec 2011)
• John Damon Templeton

  IRN JDT01071

  • CF30 Customer (1 Nov 2007 to 18 Jun 2010)
  • CF21 Investment Adviser (23 Feb 2005 to 31 Oct 2007)
• John Evan Langley

  IRN JXL01352

  • SMF3 Executive Director (28 Jan 2020 to 4 Dec 2025)
  • SMF1 Chief Executive (28 Jan 2020 to 26 Apr 2022)
• John Featherby

  IRN JJF01075

  • CF30 Customer (8 Jun 2015 to 9 Sep 2015)

No changes recorded yet.