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.

• Simon Barrass

  IRN SXB02159

  • CF30 Customer (since 17 Apr 2023)
  • CF1 Director (AR) (since 17 Apr 2023)
• Simon Hopkin

  IRN SXH00734

  • CF30 Customer (28 Mar 2022 to 1 Feb 2023)
• Simon Nicholas Wright

  IRN SNW01025

  • CF30 Customer (11 Mar 2021 to 4 Apr 2022)
• Simon William Begg

  IRN SWB01085

  • CF30 Customer (5 Jun 2019 to 2 Jan 2020)
  • CF4 Partner (AR) (5 Jun 2019 to 2 Jan 2020)
• Simon William Norris

  IRN SWN01015

  • CF1 Director (AR) (since 8 Oct 2020)
  • CF30 Customer (since 8 Oct 2020)
• Somasundaram Subramaniam

  IRN SXS05050

  • CF30 Customer (4 Jun 2018 to 20 Nov 2020)
  • CF1 Director (AR) (4 Jun 2018 to 20 Nov 2020)
• Sotirios Theodoros Fivos Lyritzis

  IRN SXL22992

  • CF30 Customer (1 Nov 2019 to 4 Sep 2020)
  • CF1 Director (AR) (1 Nov 2019 to 4 Sep 2020)
• Soufiane Bigdad

  IRN SXB02585

  • CF30 Customer (18 Nov 2011 to 16 May 2014)
• Sriram Keerty

  IRN SXK00787

  • CF30 Customer (16 May 2024 to 6 May 2025)
• Sriram Natarajan

  IRN SXN01177

  • CF30 Customer (since 1 Jul 2025)

• 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.