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.

• Sarah Una Charity

  IRN SXC00918

  • [FCA CF] Client dealing (since 30 Nov 2022)
• Scott Barclay

  IRN SXB01414

  • CF21 Investment Adviser (1 Dec 2001 to 31 Jan 2002)
• Scott Christopher Zienkewicz

  IRN SCZ01001

  • CF30 Customer (1 Nov 2007 to 1 Feb 2008)
  • CF21 Investment Adviser (10 May 2006 to 31 Oct 2007)
• Scott Fuller

  IRN SXF01282

  • CF21 Investment Adviser (20 Apr 2004 to 8 May 2007)
• Scott Williams

  IRN SXW01673

  • CF30 Customer (1 Nov 2007 to 5 Sep 2008)
  • CF21 Investment Adviser (27 Mar 2007 to 31 Oct 2007)
• Sean Ladley

  IRN SXL01369

  • CF21 Investment Adviser (2 Sep 2003 to 1 Jul 2005)
• Sebastien D G Brunetti

  IRN SDB01137

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (18 Aug 2014 to 8 Dec 2019)
• Sebastien Di Iorio

  IRN SXD01707

  • [FCA CF] Client dealing (9 Dec 2019 to 11 Jun 2021)
  • CF30 Customer (13 Jul 2016 to 8 Dec 2019)
• Sergei Levin

  IRN SXL01485

  • CF21 Investment Adviser (29 Mar 2006 to 13 Oct 2006)
• Shahid Kazi

  IRN SXK01312

  • [FCA CF] Material risk taker (3 Jan 2020 to 1 Dec 2023)

No changes recorded yet.