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.

• Peter Edward Bell

  IRN PDB01074

  • CF21 Investment Adviser (1 Dec 2001 to 13 Dec 2001)
• Peter Ernest Miller Sime

  IRN PES01039

  • CF28 Systems and controls (1 Nov 2007 to 15 Apr 2011)
  • CF14 Risk Assessment (30 Apr 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 7 May 2004)
  • CF10 Compliance Oversight (1 Dec 2001 to 7 May 2004)
• Peter Hermann Geissel

  IRN PHG01047

  • CF30 Customer (8 Aug 2013 to 1 Oct 2019)
• Peter John Wilson

  IRN PJW01138

  • CF30 Customer (10 Apr 2012 to 8 Dec 2019)
• Peter Justin Botterill

  IRN PJB01409

  • CF28 Systems and controls (1 Nov 2007 to 6 Apr 2011)
  • CF29 Significant management (1 Nov 2007 to 6 Apr 2011)
  • CF13 Finance (31 Jul 2007 to 31 Oct 2007)
  • CF19 Significant Mgt (Financial Resources) (8 Mar 2006 to 31 Oct 2007)
• Peter Patrick Connolly

  IRN PPC01025

  • CF1 Director (6 May 2009 to 15 Feb 2011)
• Peter Paul Tomic

  IRN PPT01015

  • CF30 Customer (2 Dec 2015 to 1 Mar 2019)
• Peter Richard Gray

  IRN PRG01040

  • CF21 Investment Adviser (3 Aug 2006 to 4 Apr 2007)
• Peter Riemenschneider

  IRN PXR01437

  • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
  • CF29 Significant management (1 Nov 2007 to 30 Nov 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (3 May 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (3 May 2006 to 31 Oct 2007)
• Peter Robert Coates

  IRN PRC01178

  • CF30 Customer (21 Mar 2017 to 1 Oct 2019)

No changes recorded yet.