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.

• Philip James William Wing

  IRN PJW01144

  • CF30 Customer (1 Nov 2007 to 24 Apr 2009)
  • CF21 Investment Adviser (22 Jun 2007 to 31 Oct 2007)
• Philip Neil Stone

  IRN PNS01029

  • [FCA CF] Material risk taker (since 4 Mar 2025)
  • [FCA CF] Manager of certification employee (since 1 Mar 2023)
  • [FCA CF] Client dealing (since 3 May 2022)
• Philip William Lefkowitz

  IRN PWL01041

  • CF21 Investment Adviser (11 Sep 2003 to 1 Jul 2005)
• Pierre Burke

  IRN PXB02627

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Jun 2021)
  • CF30 Customer (16 Feb 2018 to 8 Dec 2019)
• Pierre Pointier

  IRN PXP07374

  • [FCA CF] Client dealing (5 Aug 2022 to 28 Feb 2025)
  • CF30 Customer (18 Oct 2018 to 8 Dec 2019)
• Pierre van Niekerk

  IRN PXV01209

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Mar 2017 to 8 Dec 2019)
• Polina Demushkina

  IRN PXD20913

  • [FCA CF] Client dealing (9 Dec 2019 to 14 May 2021)
  • CF30 Customer (26 Sep 2019 to 8 Dec 2019)
• Quentin Simon Edward Toalster

  IRN QST01001

  • CF30 Customer (1 Sep 2011 to 10 Aug 2016)
• Quinten Charles Stevens

  IRN QCS01000

  • CF1 Director (23 Jun 2006 to 5 Jan 2009)
• RAYMOND JOHN CHARLES PIPE

  IRN RJP01255

  • CF29 Significant management (31 Aug 2011 to 12 Nov 2015)

No changes recorded yet.