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.

• Lisa McGeough

  IRN LMM01107

  • CF3 Chief Executive (14 Oct 2015 to 21 Apr 2016)
  • CF1 Director (11 Jun 2014 to 21 Apr 2016)
  • CF29 Significant management (3 Mar 2014 to 26 Jun 2014)
  • CF30 Customer (13 Feb 2013 to 21 Apr 2016)
• Lisa Tuffin

  IRN LXT01145

  • CF21 Investment Adviser (31 Oct 2005 to 13 Apr 2006)
• Lola Ninonuevo

  IRN LPN33188

  • SMF24 Chief Operations (since 10 Dec 2020)
• Lorenzo Messina

  IRN LXM00447

  • [FCA CF] Client dealing (9 Jun 2022 to 22 Dec 2023)
• Lori Sternola

  IRN LXS01131

  • CF21 Investment Adviser (18 Jun 2003 to 21 May 2004)
• Louise Li

  IRN LXL01262

  • CF1 Director (2 Dec 2010 to 30 Jun 2018)
• Ludger Peters

  IRN LXP01269

  • CF1 Director (8 Jun 2009 to 26 Jun 2014)
  • CF30 Customer (8 Jun 2009 to 30 Apr 2019)
• Luigi Alfarano

  IRN LXA01399

  • [FCA CF] Client dealing (6 Feb 2023 to 15 Jul 2024)
• Luke Anthony Bennett

  IRN LXB00831

  • [FCA CF] Manager of certification employee (since 3 Sep 2025)
  • [FCA CF] Client dealing (since 3 Sep 2025)
• Lynn Torbit McConnell

  IRN LTM01011

  • CF30 Customer (1 Nov 2007 to 31 Jan 2008)
  • CF21 Investment Adviser (31 Jan 2007 to 31 Oct 2007)

No changes recorded yet.