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.

• Robert James Dryden Pardy

  IRN RJP01260

  • CF30 Customer (22 Mar 2023 to 8 Jan 2024)
• Robert Styles

  IRN RXS01357

  • CF30 Customer (24 Jan 2019 to 15 Apr 2021)
  • CF1 Director (AR) (24 Jan 2019 to 15 Apr 2021)
• Robert Tansley

  IRN RXT20591

  • CF30 Customer (19 Sep 2019 to 13 Aug 2020)
• Robert Timothy Sprawson

  IRN RXS20714

  • CF1 Director (AR) (3 Dec 2019 to 13 Aug 2020)
  • CF30 Customer (3 Dec 2019 to 13 Aug 2020)
• Robin Samuel Osmond

  IRN RSO01010

  • CF30 Customer (since 22 Jun 2016)
  • CF4 Partner (AR) (since 22 Jun 2016)
• Rory O'Sullivan

  IRN RXO01037

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (18 Sep 2016 to 8 Dec 2019)
• Ross Peter Yammin

  IRN RXY00053

  • CF30 Customer (since 2 Aug 2023)
• Saad Achkar

  IRN SXA01553

  • CF30 Customer (17 Feb 2022 to 15 Mar 2024)
• Sahir Maximilian Lewis-Shahzad

  IRN SML01124

  • CF30 Customer (9 Aug 2018 to 1 Oct 2018)
• Sam Cole

  IRN SXC01292

  • [FCA CF] Client dealing (since 18 Dec 2024)

• Blue Owl Capital UK Limited (no longer appointed)

  FRN 937360 · Appointed 26 May 2021 · Until 5 Mar 2024

• Duir Capital Limited (no longer appointed)

  FRN 949527 · Appointed 22 Apr 2021 · Until 31 Jan 2024

• Vectr7 Investment Partners LLP (no longer appointed)

  FRN 946086 · Appointed 2 Mar 2021 · Until 22 Aug 2022

• Hereford Capital Ltd (no longer appointed)

  FRN 830532 · Appointed 26 Feb 2021 · Until 1 Nov 2024

• Spark Change Group Limited (no longer appointed)

  FRN 944451 · Appointed 6 Feb 2021 · Until 7 Dec 2023

• RFPS Management (UK) Limited (no longer appointed)

  FRN 944261 · Appointed 3 Feb 2021 · Until 1 Feb 2024

• 14W Management UK Limited (no longer appointed)

  FRN 940793 · Appointed 11 Dec 2020 · Until 29 Sep 2023

• Jigsaw VC LLP (no longer appointed)

  FRN 935860 · Appointed 2 Dec 2020 · Until 13 Sep 2021 · Tied agent

• Prima Europe LTD (no longer appointed)

  FRN 937363 · Appointed 29 Oct 2020 · Until 30 Jul 2021 · Tied agent

• MarchHarvey Ltd (no longer appointed)

  FRN 936431 · Appointed 15 Oct 2020 · Until 23 Dec 2024

No changes recorded yet.