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.

• Leonard George Harwood

  IRN LGH01009

  • CF21 Investment Adviser (15 Sep 2005 to 29 Jun 2007)
• Leonard Michael Borkan

  IRN LMB01043

  • CF30 Customer (27 Mar 2008 to 8 Apr 2019)
  • CF29 Significant management (27 Mar 2008 to 10 Jun 2009)
• Leslie Peter Jonas

  IRN LPJ01003

  • CF30 Customer (23 May 2012 to 15 Aug 2014)
• Liam David MacDonald

  IRN LDM01051

  • [FCA CF] Client dealing (9 Dec 2019 to 11 May 2023)
  • CF30 Customer (10 Sep 2018 to 8 Dec 2019)
• Liam Graham

  IRN LXG01187

  • CF30 Customer (1 Nov 2007 to 15 Apr 2011)
  • CF21 Investment Adviser (22 Jun 2007 to 31 Oct 2007)
• Libby Joan Borley

  IRN LXB00866

  • [FCA CF] Client dealing (since 1 Dec 2025)
• Lin Merilyn Li-Williams

  IRN LML01028

  • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
  • CF21 Investment Adviser (27 Jul 2006 to 31 Oct 2007)
• Lindon Wilson Neil

  IRN LWN00003

  • CF30 Customer (1 Nov 2007 to 24 Apr 2009)
  • CF21 Investment Adviser (6 Jun 2007 to 31 Oct 2007)
• Lisa Boucher

  IRN LXB01144

  • CF21 Investment Adviser (30 Jan 2003 to 18 Aug 2006)
• Lisa Christou

  IRN LGC01007

  • CF30 Customer (14 Nov 2007 to 28 Feb 2014)
  • CF21 Investment Adviser (21 May 2002 to 30 Sep 2005)

No changes recorded yet.