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.

• Rebecca Marie Corker

  IRN RMC01172

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Sep 2021)
  • CF30 Customer (19 Jul 2018 to 8 Dec 2019)
• Riccardo Abello

  IRN RXA09512

  • CF30 Customer (2 Dec 2021 to 23 May 2022)
  • CF1 Director (AR) (2 Dec 2021 to 23 May 2022)
• Richard Anthony Tynan

  IRN RAT01015

  • CF1 Director (AR) (1 Oct 2015 to 15 Feb 2017)
  • CF30 Customer (1 Oct 2015 to 15 Feb 2017)
• Richard Antony Husk

  IRN RXH26604

  • CF30 Customer (since 15 Aug 2021)
  • CF1 Director (AR) (15 Aug 2021 to 12 Oct 2023)
• Richard Arthur Price

  IRN RAP01144

  • CF1 Director (AR) (30 Oct 2015 to 20 Feb 2018)
  • CF30 Customer (30 Oct 2015 to 27 Apr 2018)
• Richard Charles Briault

  IRN RCB01182

  • CF30 Customer (31 Jan 2014 to 29 Apr 2016)
• Richard Charles Fidler

  IRN RCF01031

  • CF30 Customer (19 Aug 2022 to 27 Dec 2024)
• Richard Grant Selby

  IRN RGS01147

  • CF30 Customer (since 19 Mar 2018)
  • CF4 Partner (AR) (since 19 Mar 2018)
• Richard Gregory Hely Hutchinson

  IRN RGH01062

  • CF30 Customer (29 Sep 2017 to 14 Sep 2018)
• Richard Guy Roberts

  IRN RGR01028

  • CF1 Director (AR) (since 22 May 2023)
  • CF30 Customer (since 15 Aug 2021)

• 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.