KROLL SECURITIES LTD.

• Principal Place of Business

  The News Building, Level 6

  3 London Bridge Street

  London

  SE1 9SG

  UNITED KINGDOM

  Phone

  +4402070890927

  Web

  https://www.kroll.com

• Complaints Contact

  The News Building, Level 6

  3 London Bridge Street

  London

  SE1 9SG

  UNITED KINGDOM

  Phone

  +4402070890927

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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, Retail (Investment), 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, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, Unit, Warrant

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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.

• Claudine Cosulich

  IRN CFC30885

  • CF30 Customer (19 Feb 2024 to 18 Jan 2025)
• Clebume Campbell Wolford

  IRN CCW01066

  • CF30 Customer (31 Mar 2017 to 5 Mar 2024)
• Clement Claude-Henry Francois Beaudin

  IRN CXB00532

  • CF30 Customer (22 Dec 2021 to 24 Jan 2022)
• Colin Hugh Lally

  IRN CXL01099

  • CF1 Director (AR) (9 Sep 2021 to 24 Jan 2024)
  • CF30 Customer (9 Sep 2021 to 24 Jan 2024)
• Colin Peter Weston

  IRN CXW01194

  • CF30 Customer (31 Dec 2010 to 28 Mar 2014)
• Corinna Mitchell

  IRN CXM02526

  • CF4 Partner (AR) (6 Jun 2018 to 7 Oct 2019)
  • CF30 Customer (6 Jun 2018 to 7 Oct 2019)
• Cornelis Franciscus Bohnenn

  IRN CFB01041

  • CF2 Non Executive Director (AR) (since 7 Mar 2016)
• Craig Frederick Hawthorne

  IRN CXH26603

  • CF30 Customer (15 Aug 2021 to 8 Jan 2023)
• Craig Taylor

  IRN CXT00295

  • CF3 Chief Executive (AR) (22 Feb 2022 to 20 Apr 2023)
• Craig Warren

  IRN CXW01669

  • CF30 Customer (11 Jun 2021 to 31 Dec 2022)

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• Meliora Partners Limited (no longer appointed)

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• GLP CP UK LLP (no longer appointed)

  FRN 955735 · Appointed 28 Jul 2021 · Until 31 Jan 2023

• Spring Bridge UK LLP (no longer appointed)

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• Therium Capital Management Limited (no longer appointed)

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No changes recorded yet.