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.

• John Fitzgerald Fitzhugh

  IRN JFF01031

  • CF21 Investment Adviser (20 Oct 2003 to 27 Jul 2005)
• John Harvey

  IRN JXH02021

  • CF1 Director (23 Jun 2006 to 26 Jun 2014)
• John Hines

  IRN JXH02309

  • CF29 Significant management (8 Oct 2010 to 16 Dec 2011)
• John Lister Walbey

  IRN JLW01085

  • [FCA CF] Client dealing (9 Dec 2019 to 24 Nov 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (14 Nov 2002 to 27 Jan 2006)
  • CF21 Investment Adviser (14 Nov 2002 to 31 Oct 2007)
• John Miechkowski

  IRN JXM02145

  • CF16 Significant Mgt (Desgntd Investment Business) (21 Apr 2004 to 1 Jul 2005)
• John Russell Andrews

  IRN JRA01061

  • CF30 Customer (1 Nov 2007 to 1 Jul 2008)
  • CF21 Investment Adviser (21 Aug 2003 to 31 Oct 2007)
• John William Maier

  IRN JWM01066

  • CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2001)
• Jordan Sutcliffe

  IRN JXS75553

  • [FCA CF] Client dealing (21 May 2020 to 7 Jul 2021)
• Jordane Denise Raymonde Burillo

  IRN JDB01273

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Aug 2022)
  • CF30 Customer (3 Sep 2018 to 8 Dec 2019)
• Joseph Anthony Maher

  IRN JAM01176

  • CF19 Significant Mgt (Financial Resources) (1 Dec 2001 to 16 Sep 2005)
  • CF13 Finance (1 Dec 2001 to 31 Aug 2004)

No changes recorded yet.