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.

• Thomas Balysz

  IRN TXB00574

  • [FCA CF] Client dealing (27 Jun 2024 to 25 May 2025)
• Thomas Edward Schubert

  IRN TES01024

  • CF30 Customer (1 Nov 2007 to 20 Apr 2008)
  • CF21 Investment Adviser (28 Oct 2005 to 31 Oct 2007)
• Thomas Isaac Vilhauer

  IRN TIV01001

  • CF29 Significant management (23 Nov 2009 to 18 Jun 2010)
• Thomas James La Frenais

  IRN TXL00233

  • [FCA CF] Client dealing (since 9 Jul 2025)
• Thomas James Norman

  IRN TJN01040

  • [FCA CF] Client dealing (since 12 Jul 2022)
• Thomas Kennedy Burke

  IRN TKB01012

  • CF30 Customer (1 Nov 2007 to 14 Apr 2009)
  • CF29 Significant management (1 Nov 2007 to 14 Apr 2009)
  • CF21 Investment Adviser (13 Jul 2006 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (13 Jul 2006 to 31 Oct 2007)
• Thomas Maynard Cambern

  IRN TMC01092

  • CF1 Director (25 Jul 2014 to 1 Feb 2018)
  • CF28 Systems and controls (27 Jun 2014 to 1 Feb 2018)
• Thomas Michael Brennan Jr.

  IRN TXB44630

  • [FCA CF] Client dealing (19 Feb 2020 to 7 Jun 2021)
  • [FCA CF] Significant management (19 Feb 2020 to 7 Jun 2021)
  • [FCA CF] Material risk taker (19 Feb 2020 to 7 Jun 2021)
  • [FCA CF] Manager of certification employee (19 Feb 2020 to 7 Jun 2021)
• Thomas Newton McKinstry

  IRN TNM00007

  • CF21 Investment Adviser (5 Sep 2005 to 30 Dec 2005)
• Thomas Paul Jackivicz

  IRN TXJ01099

  • CF29 Significant management (16 Feb 2017 to 8 Dec 2019)
  • CF30 Customer (16 Feb 2017 to 8 Dec 2019)

No changes recorded yet.