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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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.

• Lawrence George Dean

  IRN LGD01012

  • CF30 Customer (since 2 Mar 2025)
  • CF4 Partner (AR) (since 2 Mar 2025)
• Lea Dubourg-Hrachovec

  IRN LXD00306

  • CF1 Director (AR) (since 29 Aug 2023)
  • CF30 Customer (since 29 Aug 2023)
• Leo Jean Debrin

  IRN LJD01070

  • CF30 Customer (20 Sep 2017 to 5 Mar 2020)
• Leon Alexander Scott

  IRN LAS01143

  • CF30 Customer (20 Apr 2017 to 12 Jul 2018)
• Liam Gerard Price

  IRN LXP00425

  • CF30 Customer (since 15 Feb 2025)
• Lisa Fanti

  IRN LXF01230

  • CF30 Customer (25 Oct 2021 to 1 Aug 2022)
• Lisa Kirchner

  IRN LXK29992

  • CF30 Customer (21 Dec 2021 to 5 Mar 2024)
• Lisa Ong

  IRN LXO01058

  • CF30 Customer (10 Aug 2021 to 31 Oct 2025)
• Liu Yang

  IRN LXY00041

  • [FCA CF] Client dealing (16 Aug 2023 to 29 May 2025)
• Lorna Margaret Zimny

  IRN LXZ00046

  • CF1 Director (AR) (since 23 Jul 2024)

• 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.