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.

• Atul Chandra Bajpai

  IRN AXB01409

  • CF30 Customer (1 Nov 2007 to 5 Mar 2009)
  • CF8 Apportionment and Oversight (10 May 2006 to 31 Oct 2007)
  • CF1 Director (10 May 2006 to 5 Mar 2009)
  • CF3 Chief Executive (10 May 2006 to 5 Mar 2009)
  • CF21 Investment Adviser (10 May 2006 to 31 Oct 2007)
• Austin McDonnell Rodgers

  IRN AMR01096

  • CF14 Risk Assessment (15 Oct 2002 to 30 Apr 2004)
• Axel Brinkmann-Schwalbe

  IRN ARB01235

  • CF30 Customer (20 May 2008 to 29 May 2009)
• Aysha Suzuki

  IRN AXS02557

  • [FCA CF] Manager of certification employee (1 Mar 2023 to 30 Apr 2024)
  • [FCA CF] Client dealing (20 Jun 2022 to 30 Apr 2024)
• BENJAMIN JOHN FOLEY

  IRN BJF01062

  • CF30 Customer (26 May 2011 to 17 Jun 2014)
• Ben Ismael Hossen

  IRN BXH00325

  • [FCA CF] Client dealing (since 11 Oct 2023)
• Benjamin Franklin Williams

  IRN BFW01013

  • CF1 Director (7 Jul 2006 to 31 Dec 2008)
• Benjamin Jones Calow

  IRN BJC01089

  • [FCA CF] Manager of certification employee (5 May 2023 to 1 Sep 2025)
  • [FCA CF] Material risk taker (3 Jan 2022 to 1 Sep 2025)
  • [FCA CF] Significant management (1 Mar 2021 to 1 Sep 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Sep 2025)
  • CF30 Customer (6 Aug 2010 to 8 Dec 2019)
• Benjamin Quintin Des Clayes

  IRN BQD01000

  • CF30 Customer (11 Apr 2017 to 3 Aug 2018)
• Benoit Alexandre Lachaud

  IRN BAL01032

  • CF30 Customer (1 Nov 2007 to 4 Jul 2008)
  • CF21 Investment Adviser (31 May 2007 to 31 Oct 2007)

No changes recorded yet.