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

  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.

• 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.

• Michael Anstey

  IRN MXA14907

  • CF30 Customer (20 Sep 2019 to 13 Aug 2020)
• Michael Arthur Burns

  IRN MXB02202

  • CF1 Director (AR) (5 Dec 2023 to 5 Mar 2024)
  • CF30 Customer (22 Mar 2023 to 5 Mar 2024)
• Michael Damian Darragh

  IRN MDD01028

  • CF30 Customer (22 Mar 2023 to 8 Jan 2024)
• Michael De Bruyne

  IRN MXD00832

  • CF30 Customer (2 Jan 2025 to 1 May 2025)
• Michael DeWitt Hansen

  IRN MXH32220

  • CF4 Partner (AR) (26 Feb 2020 to 1 Mar 2021)
  • CF30 Customer (26 Feb 2020 to 1 Jan 2023)
• Michael Hilary Chalfen

  IRN MHC01032

  • CF4 Partner (AR) (since 6 Jan 2020)
  • CF30 Customer (since 6 Jan 2020)
• Michael John McEwen

  IRN MXM00976

  • CF30 Customer (19 Oct 2022 to 10 Dec 2024)
• Michael John Riccione

  IRN MXR00682

  • CF30 Customer (since 19 Jan 2023)
  • CF1 Director (AR) (since 19 Jan 2023)
• Michael Keith Morris

  IRN MXM88661

  • CF3 Chief Executive (AR) (29 Jul 2020 to 5 Mar 2022)
• Michael Kurdziel

  IRN MXK23546

  • CF30 Customer (since 9 Nov 2019)

• Fomtech Limited (no longer appointed)

  FRN 968594 · Appointed 25 Jan 2022 · Until 24 Feb 2023

• Green Sky Advisors Limited (no longer appointed)

  FRN 967432 · Appointed 12 Jan 2022 · Until 7 Dec 2023

• Blue Fire AI Capital Limited (no longer appointed)

  FRN 961825 · Appointed 28 Oct 2021 · Until 1 Jul 2025

• Breeze Corporate Finance Limited (no longer appointed)

  FRN 958401 · Appointed 14 Sep 2021 · Until 1 Feb 2023

• Eurazeo UK Limited (no longer appointed)

  FRN 957341 · Appointed 24 Aug 2021 · Until 23 May 2022

• Halliser Limited (no longer appointed)

  FRN 957128 · Appointed 19 Aug 2021 · Until 17 Oct 2022

• Meliora Partners Limited (no longer appointed)

  FRN 956151 · Appointed 5 Aug 2021 · Until 5 May 2023

• GLP CP UK LLP (no longer appointed)

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

• Spring Bridge UK LLP (no longer appointed)

  FRN 953973 · Appointed 1 Jul 2021 · Until 25 Jan 2022

• Therium Capital Management Limited (no longer appointed)

  FRN 953477 · Appointed 23 Jun 2021 · Until 12 Feb 2025

No changes recorded yet.