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.

• Nicholas William Bennett

  IRN NWB01022

  • SMF18 Other Overall Responsibility (30 Nov 2020 to 30 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2022)
  • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF16 Significant Mgt (Desgntd Investment Business) (20 Apr 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (4 Mar 2002 to 31 Oct 2007)
• Nicola Free

  IRN NXS01333

  • [FCA CF] Manager of certification employee (since 19 Mar 2026)
  • [FCA CF] Client dealing (since 1 Mar 2024)
  • [FCA CF] Material risk taker (since 1 Mar 2024)
• Nicole Kathryn Marie Howlett

  IRN NKH01017

  • CF30 Customer (7 Sep 2018 to 14 Nov 2019)
• Niels-Christian Mogensen

  IRN NXM01791

  • CF29 Significant management (7 Jul 2014 to 8 Apr 2015)
• Nigel Adams

  IRN NXA19242

  • [FCA CF] CASS oversight function (since 22 Jan 2021)
  • [FCA CF] Significant management (since 22 Jan 2021)
  • SMF18 Other Overall Responsibility (9 Dec 2019 to 10 Dec 2020)
  • CF29 Significant management (12 Nov 2019 to 8 Dec 2019)
• Nigel John Dyble

  IRN NJD01098

  • [FCA CF] Material risk taker (since 20 May 2022)
  • [FCA CF] Client dealing (since 20 Aug 2020)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Algorithmic trading (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
  • CF16 Significant Mgt (Desgntd Investment Business) (19 Sep 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (16 Aug 2005 to 31 Oct 2007)
• Nikesh Modha

  IRN NKM01007

  • [FCA CF] Manager of certification employee (since 1 Mar 2023)
  • [FCA CF] Client dealing (since 17 Feb 2022)
  • [FCA CF] Material risk taker (17 Feb 2022 to 4 Mar 2025)
• Nikunj Kaushal

  IRN NXK00256

  • [FCA CF] Client dealing (4 Oct 2023 to 25 Nov 2024)
• Nils Stephen Johnson

  IRN NSJ01010

  • CF21 Investment Adviser (13 May 2003 to 26 Mar 2004)
• Njavwa Wamusumbichila Mulwanda

  IRN NWM01032

  • CF30 Customer (19 Dec 2014 to 23 Apr 2017)

No changes recorded yet.