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.

• Rachel Colleen Fernandez

  IRN RXF00329

  • [FCA CF] Client dealing (since 9 Aug 2024)
• Radhika Bharat Shah

  IRN RBS01058

  • CF30 Customer (21 Jan 2015 to 13 Jan 2016)
• Rahul Desai

  IRN RXD01693

  • [FCA CF] Client dealing (25 Sep 2020 to 23 Jun 2025)
  • [FCA CF] Algorithmic trading (3 Jan 2020 to 23 Jun 2025)
  • CF30 Customer (12 Jul 2016 to 8 Dec 2019)
• Rahul Rajesh

  IRN RXR01597

  • [FCA CF] Manager of certification employee (since 11 Apr 2023)
  • [FCA CF] Material risk taker (since 1 Jan 2023)
  • [FCA CF] Significant management (since 10 Nov 2021)
  • [FCA CF] Client dealing (since 10 Nov 2021)
  • [FCA CF] Material risk taker (10 Nov 2021 to 20 May 2022)
• Rajnish Bharadwaj

  IRN RXB02106

  • CF1 Director (18 Apr 2011 to 31 Dec 2017)
• Rakesh Haresh Harjani

  IRN RHH01057

  • [FCA CF] Client dealing (since 2 Oct 2025)
• Ramesh Krishnan Nayar

  IRN RXN01127

  • CF20 Significant Mgt (Settlements) (17 Sep 2004 to 3 Apr 2006)
• Ran Shi

  IRN RXS01546

  • [FCA CF] Client dealing (16 Aug 2022 to 23 Nov 2022)
  • [FCA CF] Material risk taker (16 Aug 2022 to 1 Nov 2022)
• Rares Trocan

  IRN RXT01381

  • CF30 Customer (1 Nov 2007 to 24 Jun 2008)
  • CF21 Investment Adviser (8 May 2007 to 31 Oct 2007)
• Rebecca Elizabeth Kwee

  IRN REK01008

  • CF30 Customer (25 Jun 2015 to 1 Mar 2019)

No changes recorded yet.