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.

• Travis Joseph Chernichen

  IRN TJC01215

  • [FCA CF] Client dealing (27 Apr 2023 to 12 May 2023)
• Trevor Stephen Andrews

  IRN TSA01015

  • CF10 Compliance Oversight (23 Nov 2009 to 27 Jun 2016)
• Umang Vithlani

  IRN UXV01003

  • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
  • CF21 Investment Adviser (12 Jun 2007 to 31 Oct 2007)
• Vanessa Ann Bailey

  IRN VAB01040

  • SMF10 Chair of the Risk Committee (since 9 Jun 2022)
• Varahe Suresh

  IRN VXS00204

  • [FCA CF] Client dealing (16 Apr 2024 to 14 Aug 2025)
• Velmurugu Mayooran

  IRN VXM21083

  • [FCA CF] Significant management (since 1 Mar 2021)
  • [FCA CF] Material risk taker (1 Jan 2023 to 1 Mar 2025)
  • SMF24 Chief Operations (10 Mar 2020 to 10 Dec 2020)
• Veryan John Hugh Boscawen

  IRN VJB01030

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (19 Jan 2018 to 8 Dec 2019)
• Victor Emilion Gauvin

  IRN VEG00004

  • [FCA CF] Manager of certification employee (17 Jan 2023 to 25 Apr 2025)
  • [FCA CF] Client dealing (12 Nov 2021 to 25 Apr 2025)
  • [FCA CF] Material risk taker (12 Nov 2021 to 4 Mar 2025)
• Vid Jarc

  IRN VXJ01098

  • [FCA CF] Manager of certification employee (since 1 Mar 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (28 Oct 2015 to 8 Dec 2019)
• Vincent Pena

  IRN VXP01109

  • CF30 Customer (2 Oct 2015 to 1 Oct 2019)

No changes recorded yet.