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.

• Kenneth Petrilla

  IRN KJP01069

  • CF1 Director (14 Apr 2009 to 16 Jan 2012)
  • CF3 Chief Executive (14 Apr 2009 to 16 Jan 2012)
• Kevin Broughton

  IRN KJB01158

  • [FCA CF] Algorithmic trading (since 30 Nov 2022)
  • [FCA CF] Client dealing (since 30 Nov 2022)
• Kevin Joseph Killeen

  IRN KJK01029

  • CF30 Customer (1 Nov 2007 to 28 Feb 2014)
  • CF21 Investment Adviser (22 Oct 2007 to 31 Oct 2007)
• Kevin Patrick Corcoran

  IRN KPC01013

  • CF30 Customer (1 Nov 2007 to 9 Sep 2015)
  • CF29 Significant management (1 Nov 2007 to 9 Sep 2015)
  • CF16 Significant Mgt (Desgntd Investment Business) (20 Apr 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Mar 2005 to 31 Oct 2007)
• Kiah Nkechi Olugh

  IRN KXO00172

  • [FCA CF] Client dealing (since 9 Sep 2025)
• Kim Alessandra Torriani

  IRN KAT01038

  • CF30 Customer (21 Jan 2008 to 11 Jul 2013)
• Kim Hatcher

  IRN KMH01112

  • SMF16 Compliance Oversight (15 Sep 2022 to 2 Jul 2024)
• Kim V. Farr

  IRN KXV01036

  • CF16 Significant Mgt (Desgntd Investment Business) (7 Nov 2003 to 1 Jul 2005)
• Klaus Betz-Vais

  IRN KXB01283

  • CF30 Customer (1 Nov 2007 to 10 Apr 2009)
  • CF21 Investment Adviser (1 Aug 2007 to 31 Oct 2007)
• Krishna Shah

  IRN KXS01556

  • CF30 Customer (1 Mar 2013 to 12 Nov 2015)

No changes recorded yet.