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.

• Paul Burkhart

  IRN PXB01856

  • CF30 Customer (1 Nov 2007 to 29 Feb 2008)
  • CF21 Investment Adviser (29 Mar 2007 to 31 Oct 2007)
• Paul Elliott

  IRN PPE01006

  • CF30 Customer (8 Jun 2009 to 12 Apr 2019)
• Paul Fraser

  IRN PXF44622

  • [FCA CF] Material risk taker (20 Aug 2020 to 9 Aug 2021)
• Paul Gardiner

  IRN PXG01881

  • CF29 Significant management (30 Sep 2016 to 25 May 2017)
• Paul Neuser Gehrig

  IRN PNG01020

  • CF30 Customer (1 Nov 2007 to 1 Aug 2008)
  • CF21 Investment Adviser (6 Nov 2003 to 1 Jul 2005)
• Paul Willers

  IRN PXW01251

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2023)
  • CF30 Customer (22 Nov 2017 to 8 Dec 2019)
• Pema Dorje

  IRN PXD01398

  • CF30 Customer (1 Nov 2007 to 4 Jul 2008)
  • CF21 Investment Adviser (22 Jun 2007 to 31 Oct 2007)
• Per Mario Floden

  IRN PMF01060

  • CF30 Customer (2 Oct 2015 to 1 Oct 2019)
• Petar Gitsoaika

  IRN PXG01611

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2023)
  • CF30 Customer (24 Aug 2011 to 8 Dec 2019)
• Peter Clarke

  IRN PXC01412

  • CF30 Customer (1 Nov 2007 to 14 Feb 2008)
  • CF21 Investment Adviser (22 Dec 2006 to 31 Oct 2007)

No changes recorded yet.