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.

• Donald Austin Robert

  IRN DXR15110

  • CF30 Customer (3 Jul 2019 to 2 Jan 2020)
  • CF4 Partner (AR) (3 Jul 2019 to 2 Jan 2020)
• Douglas Bloom Sieg

  IRN DBS01076

  • CF1 Director (AR) (26 Jul 2017 to 31 Oct 2018)
• Duncan James Buck

  IRN DJB01277

  • CF30 Customer (since 9 Aug 2025)
• Duncan Lascelles Browne

  IRN DXB00624

  • CF30 Customer (30 Mar 2022 to 10 Jun 2024)
• Dwain Gregory Forde

  IRN DXF00150

  • [FCA CF] Client dealing (19 Dec 2019 to 14 Sep 2022)
• Eamon Piaras O'Fearghail

  IRN EPO01011

  • CF30 Customer (28 May 2016 to 10 May 2017)
• Edmund Chan Kah Mun

  IRN EXC01606

  • CF30 Customer (22 Feb 2018 to 15 Jun 2018)
  • CF2 Non Executive Director (AR) (22 Feb 2018 to 15 Jun 2018)
• Edoardo Conti

  IRN EXC00214

  • CF30 Customer (28 Mar 2022 to 20 Jul 2023)
• Edward Anfrid Pringle Benthall

  IRN EAB01024

  • CF30 Customer (19 Dec 2019 to 13 Aug 2020)
  • CF1 Director (AR) (19 Dec 2019 to 13 Aug 2020)
• Edward Austen Philip Bradford

  IRN EAB01054

  • CF30 Customer (22 Dec 2015 to 31 Mar 2016)

• Empowerment IP Capital Limited (no longer appointed)

  FRN 933630 · Appointed 7 Sep 2020 · Until 26 Apr 2023

• Winsure Financial Limited (no longer appointed)

  FRN 930368 · Appointed 22 Jul 2020 · Until 5 Mar 2022

• Fox Point Partners LLP (no longer appointed)

  FRN 930286 · Appointed 21 Jul 2020 · Until 22 Sep 2021 · Tied agent

• Lintel Capital UK Advisors LLP (no longer appointed)

  FRN 922185 · Appointed 6 Mar 2020 · Until 30 Sep 2020 · Tied agent

• Pretium UK Partners Limited (no longer appointed)

  FRN 921689 · Appointed 26 Feb 2020 · Until 15 Dec 2021

• Moonfire Ventures LLP (no longer appointed)

  FRN 919386 · Appointed 13 Jan 2020 · Until 24 Dec 2020 · Tied agent

• Spice Capital Partners LLP (no longer appointed)

  FRN 809013 · Appointed 6 Nov 2019 · Until 29 Dec 2023

• Storm Capital Partners Ltd (no longer appointed)

  FRN 775912 · Appointed 23 Oct 2019 · Until 21 Dec 2020

• Cambridge Innovation Capital Manager Limited (no longer appointed)

  FRN 913528 · Appointed 16 Sep 2019 · Until 13 Aug 2020 · Tied agent

• Sackville Capital Ltd. (no longer appointed)

  FRN 913284 · Appointed 11 Sep 2019 · Until 31 Dec 2022

No changes recorded yet.