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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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.

• Reginald Hugh Allen Fitzpatrick

  IRN RHF01021

  • CF21 Investment Adviser (18 Aug 2003 to 1 Jul 2005)
• Riaz Gabriel Azadi

  IRN RGA01050

  • CF30 Customer (29 Aug 2013 to 1 Oct 2019)
• Riccardo Donati

  IRN RID01013

  • [FCA CF] Manager of certification employee (8 Jun 2022 to 12 Apr 2024)
  • [FCA CF] Significant management (8 Jun 2022 to 12 Apr 2024)
  • [FCA CF] Material risk taker (13 Apr 2022 to 12 Apr 2024)
  • [FCA CF] Client dealing (13 Apr 2022 to 12 Apr 2024)
• Riccardo Scarpa

  IRN RXS02551

  • CF30 Customer (5 Aug 2014 to 11 Aug 2017)
• Richard Alen Keating

  IRN RAK01073

  • CF30 Customer (1 Nov 2007 to 28 Jan 2010)
  • CF29 Significant management (1 Nov 2007 to 28 Jan 2011)
  • CF16 Significant Mgt (Desgntd Investment Business) (11 Sep 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (11 Sep 2007 to 31 Oct 2007)
• Richard Edward Gordon Stephens

  IRN RES01107

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Aug 2017 to 8 Dec 2019)
• Richard Fairhurst

  IRN RXF44614

  • [FCA CF] Significant management (since 1 Mar 2025)
• Richard Michael Lee

  IRN RXL01195

  • [FCA CF] Material risk taker (23 Aug 2022 to 29 Apr 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 29 Apr 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Apr 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Apr 2024)
  • CF29 Significant management (13 Feb 2008 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (23 Jun 2003 to 31 Oct 2007)
• Richard Nicholas Heron Morley

  IRN RNM01006

  • CF8 Apportionment and Oversight (1 Dec 2001 to 13 May 2003)
  • CF3 Chief Executive (1 Dec 2001 to 13 May 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 13 May 2003)
  • CF1 Director (1 Dec 2001 to 13 May 2003)
• Richard Place

  IRN RXP01477

  • SMF2 Chief Finance (since 15 Sep 2020)
  • SMF3 Executive Director (since 15 Sep 2020)

No changes recorded yet.