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.

• Anthony Nathaniel Hill

  IRN ANH01022

  • CF30 Customer (1 Nov 2007 to 31 Aug 2008)
  • CF21 Investment Adviser (20 Jun 2007 to 31 Oct 2007)
• Anton Paul Conrady

  IRN AXC03383

  • [FCA CF] Material risk taker (11 Dec 2024 to 31 Dec 2024)
• Aoife Elizabeth Hennigan

  IRN AXH01466

  • [FCA CF] Client dealing (since 4 Jun 2025)
• Arif Mansuri

  IRN AXM01494

  • CF29 Significant management (30 Jan 2015 to 19 Jul 2016)
  • CF30 Customer (30 Jan 2015 to 19 Jul 2016)
• Arjav Setu Vora

  IRN AXV00234

  • [FCA CF] Client dealing (since 9 Aug 2024)
• Arnav Borah

  IRN AXB04077

  • CF30 Customer (2 Aug 2017 to 22 May 2018)
• Arsene Lahoud

  IRN AXL01391

  • CF21 Investment Adviser (29 Jun 2006 to 15 Jun 2007)
• Arthur LOUCHARD

  IRN AXL73874

  • [FCA CF] Client dealing (30 Sep 2021 to 25 Jan 2023)
• Athirathan Jeevan Yogarajah

  IRN AJY01015

  • [FCA CF] Significant management (1 Mar 2021 to 30 Jun 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jun 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2023)
  • CF30 Customer (23 Dec 2010 to 8 Dec 2019)
• Attila Ork’o Frisancho

  IRN AXF00593

  • [FCA CF] Client dealing (since 14 Feb 2025)

No changes recorded yet.