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 Rapp

  IRN TXR44620

  • [FCA CF] Client dealing (since 28 Feb 2023)
  • [FCA CF] Material risk taker (since 1 Jan 2023)
  • [FCA CF] Significant management (since 1 Mar 2021)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• Thomas Sermon

  IRN TCS01048

  • [FCA CF] Client dealing (since 1 Mar 2026)
  • [FCA CF] Material risk taker (since 7 Mar 2016)
  • [FCA CF] Material risk taker (3 Jan 2021 to 31 Mar 2025)
• Thomas Walker Brown

  IRN TWB01020

  • CF14 Risk Assessment (1 Dec 2001 to 13 Jan 2003)
• Tiffany Hudson

  IRN TXS01167

  • CF30 Customer (1 Nov 2007 to 1 Mar 2019)
  • CF21 Investment Adviser (11 Jul 2005 to 31 Oct 2007)
• Timothy Holder

  IRN TXH01192

  • CF29 Significant management (1 Nov 2007 to 5 Feb 2008)
  • CF30 Customer (1 Nov 2007 to 5 Feb 2008)
  • CF16 Significant Mgt (Desgntd Investment Business) (12 Oct 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (26 Jan 2004 to 31 Oct 2007)
• Timothy James Andrew Everett

  IRN TJS01171

  • CF30 Customer (3 Dec 2015 to 8 Apr 2019)
• Timothy Menzies Gibb

  IRN TXG00324

  • [FCA CF] Client dealing (3 Sep 2025 to 26 Mar 2026)
• Tina Hennis

  IRN TXH00133

  • [FCA CF] Client dealing (since 5 Mar 2021)
• Toby Christopher Bullivant

  IRN TCB01035

  • CF30 Customer (1 Nov 2007 to 28 Dec 2018)
  • CF21 Investment Adviser (2 Apr 2004 to 31 Oct 2007)
• Todd Steinberg

  IRN TXS01242

  • CF1 Director (11 Dec 2002 to 24 Jun 2003)

No changes recorded yet.