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.

• Stephane Xavier Fievee

  IRN SXF01351

  • CF30 Customer (1 Nov 2007 to 4 Jul 2008)
  • CF21 Investment Adviser (26 Jan 2007 to 31 Oct 2007)
• Stephen Gallagher

  IRN SXG02245

  • CF30 Customer (27 Aug 2015 to 3 May 2016)
• Stephen James Smith

  IRN SJS01213

  • CF30 Customer (1 Nov 2007 to 4 Jul 2008)
  • CF21 Investment Adviser (6 Feb 2003 to 31 Oct 2007)
• Stephen John Maynard

  IRN SJM01415

  • CF21 Investment Adviser (6 Jun 2005 to 30 Sep 2005)
• Stephen John Mills

  IRN SJM01223

  • CF16 Significant Mgt (Desgntd Investment Business) (20 Apr 2005 to 28 Apr 2006)
  • CF26 Customer Trading (20 Apr 2005 to 12 Sep 2005)
  • CF21 Investment Adviser (3 Dec 2003 to 28 Apr 2006)
• Stephen Kingsley

  IRN SXK01620

  • SMF11 Chair of the Audit Committee (since 4 Jan 2021)
• Stephen Martin Clifford

  IRN SMC01184

  • CF21 Investment Adviser (8 Jun 2005 to 31 Dec 2006)
• Stephen Mitchell Somer

  IRN SMS01225

  • CF30 Customer (23 Nov 2009 to 4 Jul 2012)
• Stephen Morita

  IRN SXM03774

  • CF30 Customer (12 Oct 2015 to 1 Oct 2019)
• Stephen Robert Kramer

  IRN SRK01050

  • CF29 Significant management (3 Dec 2010 to 31 Jul 2015)

No changes recorded yet.