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.

• Richard Ringrose

  IRN RXR01291

  • CF30 Customer (1 Nov 2007 to 9 Dec 2009)
  • CF21 Investment Adviser (8 Feb 2007 to 31 Oct 2007)
• Richard Sinclair Cope

  IRN RSC01047

  • [FCA CF] Material risk taker (since 1 Jan 2023)
  • [FCA CF] Significant management (since 26 Oct 2021)
  • [FCA CF] Client dealing (since 26 Oct 2021)
  • [FCA CF] Manager of certification employee (since 26 Oct 2021)
  • [FCA CF] Material risk taker (26 Oct 2021 to 28 Feb 2023)
• Richard Umberto Cavilli

  IRN RUC01000

  • [FCA CF] Manager of certification employee (27 Nov 2023 to 16 Oct 2025)
  • [FCA CF] Client dealing (26 May 2023 to 16 Oct 2025)
• Ritchie Gardiner

  IRN RXG01616

  • CF30 Customer (28 Jun 2012 to 9 Nov 2015)
• Robb Michael Schaefer

  IRN RMS01196

  • CF30 Customer (29 Jul 2008 to 4 Apr 2009)
• Robert David Weinberg

  IRN RDW01085

  • CF30 Customer (20 Jan 2018 to 1 Oct 2019)
• Robert James Fernandez

  IRN RJF01095

  • CF29 Significant management (9 Sep 2013 to 20 Jun 2019)
  • CF30 Customer (9 Sep 2013 to 20 Jun 2019)
• Robert James Maconochie-Wellwood

  IRN RJM01205

  • CF30 Customer (14 Dec 2011 to 10 Nov 2015)
• Robert John Schweitzer

  IRN RJS01293

  • CF30 Customer (1 Nov 2007 to 6 Nov 2007)
  • CF21 Investment Adviser (6 Nov 2003 to 31 Oct 2007)
• Robert Joseph Teller

  IRN RJT01114

  • CF21 Investment Adviser (20 May 2003 to 31 Dec 2005)

No changes recorded yet.