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.

• Robert O. Ricci

  IRN RXR01237

  • CF30 Customer (1 Nov 2007 to 19 Jan 2009)
  • CF21 Investment Adviser (16 Sep 2003 to 31 Oct 2007)
• Robert Ritchie

  IRN RER01020

  • SMF18 Other Overall Responsibility (since 24 Dec 2020)
  • [FCA CF] Client dealing (since 6 Jan 2020)
• Rolf Friedrich

  IRN RXF01128

  • CF30 Customer (1 Nov 2007 to 19 Sep 2008)
  • CF21 Investment Adviser (12 Apr 2003 to 31 Oct 2007)
• Rory Hudson

  IRN RPH01045

  • [FCA CF] Manager of certification employee (since 1 Mar 2026)
  • [FCA CF] Significant management (since 1 Mar 2024)
  • [FCA CF] Material risk taker (since 30 Sep 2020)
  • [FCA CF] Manager of certification employee (1 Mar 2023 to 10 Jun 2024)
  • SMF2 Chief Finance (17 Mar 2020 to 15 Sep 2020)
  • CF30 Customer (1 Nov 2007 to 11 Mar 2011)
  • CF21 Investment Adviser (9 Feb 2004 to 31 Oct 2007)
• Rory Maxwell

  IRN RXM00530

  • [FCA CF] Client dealing (10 Sep 2021 to 14 Mar 2022)
• Ruby Chamberlain

  IRN RXC00748

  • [FCA CF] Client dealing (since 18 Dec 2025)
• Ryan Bui

  IRN RXB00838

  • [FCA CF] Client dealing (since 9 Oct 2025)
• Ryan Christopher Naidu

  IRN RXN00277

  • [FCA CF] Client dealing (since 24 Jul 2025)
• Ryan Jagdeo

  IRN RTJ01024

  • CF11 Money Laundering Reporting (12 Mar 2015 to 8 Dec 2019)
• SCOTT EDWARD MITCHINSON

  IRN SEM01136

  • [FCA CF] Manager of certification employee (since 1 Mar 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Sep 2012 to 8 Dec 2019)

No changes recorded yet.