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.

• Somit Guha

  IRN SXG01592

  • CF30 Customer (16 Nov 2007 to 19 Sep 2011)
• Sook Leen Seah

  IRN SLS01069

  • [FCA CF] Manager of certification employee (since 1 Mar 2023)
  • [FCA CF] Client dealing (since 28 Jun 2022)
• Sophia Kouchak

  IRN SXK00401

  • [FCA CF] Client dealing (since 10 Apr 2026)
• Sophie Claire Guillum Scott

  IRN SCG01096

  • CF30 Customer (20 Nov 2017 to 8 Apr 2019)
• Sophie Lesguillons

  IRN SXL01492

  • CF21 Investment Adviser (30 Nov 2005 to 30 Mar 2007)
• Soufian Zitouni

  IRN SXZ00056

  • [FCA CF] Client dealing (since 23 Jul 2025)
• Spyros Couppis

  IRN SAC01246

  • [FCA CF] Manager of certification employee (since 17 Apr 2024)
  • [FCA CF] Client dealing (since 14 Apr 2023)
• Stafford Kilburn Butt

  IRN SKB01017

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 22 Jan 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 22 Jan 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 22 Jan 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Jan 2022)
  • CF29 Significant management (14 Oct 2013 to 8 Dec 2019)
  • CF30 Customer (23 Jan 2013 to 8 Dec 2019)
• Stefano Antoci

  IRN SXA00513

  • [FCA CF] Algorithmic trading (since 31 Oct 2025)
  • [FCA CF] Client dealing (since 31 Oct 2025)
• Stephane Michel Carty

  IRN SXC01342

  • CF30 Customer (1 Nov 2007 to 4 Apr 2009)
  • CF29 Significant management (1 Nov 2007 to 4 Apr 2009)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Mar 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Mar 2006 to 31 Oct 2007)

No changes recorded yet.