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.

• Joseph Dore

  IRN JXD01944

  • CF30 Customer (18 Sep 2013 to 8 Apr 2019)
• Joseph Kiernan Millist

  IRN JKM01080

  • CF29 Significant management (16 Sep 2015 to 8 Dec 2019)
  • CF10a CASS Oversight function (10 Dec 2014 to 8 Dec 2019)
• Joseph Nenichka

  IRN JXN01065

  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 13 Nov 2002)
• Joshua Charles Shackleton Sean Harrington

  IRN JCH01085

  • CF30 Customer (9 Apr 2008 to 4 Jun 2009)
• Juan Carlos Barreto

  IRN JCB01325

  • CF30 Customer (10 Nov 2015 to 18 Jan 2017)
• Judicael Jullien

  IRN JXJ01092

  • CF30 Customer (4 Aug 2008 to 10 Jul 2009)
• Julian Alwyn Daley

  IRN JAD01145

  • CF1 Director (3 Aug 2009 to 31 Mar 2017)
  • CF29 Significant management (1 Jun 2009 to 10 Jul 2009)
• Julian Harris Mellini

  IRN JHM01126

  • CF30 Customer (12 Oct 2011 to 3 Jul 2013)
• Julie Marie Celine Rocheron

  IRN JMR01209

  • CF30 Customer (1 Nov 2007 to 7 Oct 2015)
  • CF21 Investment Adviser (20 Aug 2007 to 31 Oct 2007)
• Julien Pajot

  IRN JXP01297

  • [FCA CF] Material risk taker (20 Aug 2020 to 26 Sep 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 Sep 2022)
  • CF30 Customer (8 Jan 2018 to 8 Dec 2019)

No changes recorded yet.