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.

• Jeremy Joseph De Melo

  IRN JJD01094

  • CF1 Director (AR) (20 Mar 2018 to 22 May 2019)
• Jeremy Marchat

  IRN JXM01463

  • CF30 Customer (14 Sep 2023 to 5 Mar 2024)
• Jern Yang

  IRN JXY00119

  • [FCA CF] Client dealing (since 15 Nov 2024)
• Jessica Baillargeon

  IRN JXB03337

  • CF30 Customer (15 Jul 2015 to 23 Jun 2017)
• Jessica Voong

  IRN JXV00222

  • CF30 Customer (since 18 Feb 2025)
• Jill Gauton

  IRN JXG02344

  • CF30 Customer (11 Jan 2017 to 29 Jun 2018)
• Jingyi Liu

  IRN JXL00670

  • CF30 Customer (14 Jun 2023 to 28 Feb 2024)
• Jinny Ru Yi Zheng Wang

  IRN JXW00601

  • CF30 Customer (29 Dec 2021 to 5 Mar 2024)
• Joanna Katarzyna Antkowiak

  IRN JKA01033

  • CF30 Customer (18 Mar 2022 to 5 Mar 2024)
• Joel Francis Hope-Bell

  IRN JFH01032

  • CF1 Director (23 Apr 2015 to 30 Oct 2015)
  • CF3 Chief Executive (23 Apr 2015 to 30 Oct 2015)
  • CF30 Customer (22 Jan 2014 to 30 Oct 2015)

• All Seas Capital Partners Ltd (no longer appointed)

  FRN 912870 · Appointed 2 Sep 2019 · Until 4 Jan 2021 · Tied agent

• Financial Services Capital Partners LLP (no longer appointed)

  FRN 845159 · Appointed 2 Jul 2019 · Until 12 Dec 2024

• WS & C Investments Advisory UK LLP (no longer appointed)

  FRN 844626 · Appointed 24 Jun 2019 · Until 12 Nov 2019 · Tied agent

• Corten Advisors UK LLP (no longer appointed)

  FRN 841842 · Appointed 13 May 2019 · Until 2 Jan 2020 · Tied agent

• Berkeley Capital And Asset Development Limited (no longer appointed)

  FRN 840408 · Appointed 17 Apr 2019 · Until 8 Jul 2019

• Fort International Limited (no longer appointed)

  FRN 839844 · Appointed 9 Apr 2019 · Until 31 Aug 2022

• Lakemore Partners UK Limited (no longer appointed)

  FRN 837603 · Appointed 21 Mar 2019 · Until 31 Dec 2024

• PARAVENE CAPITAL UK LTD (no longer appointed)

  FRN 834081 · Appointed 20 Feb 2019 · Until 7 Feb 2025

• Pareto Capital Advisers Limited (no longer appointed)

  FRN 831120 · Appointed 16 Jan 2019 · Until 9 Apr 2021 · Tied agent

• Alpha Beta Capital (Europe) Limited (no longer appointed)

  FRN 830640 · Appointed 11 Jan 2019 · Until 1 Aug 2019 · Tied agent

No changes recorded yet.