KROLL SECURITIES LTD.

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FRN: 466588
Date authorised: 1 April 2013
Companies House: 06029386
Last scraped: 2 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Cristobal Cuart Guitart
IRN CXC01584
- CF1 Director (AR) (13 Sep 2019 to 4 Jan 2021)
- CF3 Chief Executive (AR) (13 Sep 2019 to 4 Jan 2021)
- CF30 Customer (13 Sep 2019 to 4 Jan 2021)
Cyril Dukic
IRN CXD01976
- CF1 Director (AR) (15 Jun 2018 to 1 Oct 2019)
Cyrus Jilla
IRN CXJ67271
- CF30 Customer (7 May 2024 to 2 Jan 2026)
Dafydd Rhys Evans
IRN DRE01042
- SMF3 Executive Director (since 20 Aug 2024)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (25 Jul 2013 to 8 Dec 2019)
Dane Merrick
IRN DXM03112
- CF30 Customer (21 Apr 2018 to 1 May 2019)
Daniel Adam Grenville Perry
IRN DXP26599
- CF1 Director (AR) (15 Aug 2021 to 15 Nov 2021)
Daniel Alexander Rossington
IRN DXR06022
- CF30 Customer (10 Sep 2018 to 31 Aug 2019)
Daniel Bernard Zwirn
IRN DBZ01003
- CF30 Customer (17 Aug 2018 to 29 Mar 2019)
- CF1 Director (AR) (17 Aug 2018 to 29 Mar 2019)
Daniel Costello
IRN DXC23410
- CF30 Customer (since 7 Nov 2019)
Daniel Ian Gasper
IRN DIG01028
- CF30 Customer (19 Sep 2021 to 17 Oct 2022)
- CF1 Director (AR) (19 Sep 2021 to 17 Oct 2022)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Alfaco Partners Limited (no longer appointed)
FRN 825523 · Appointed 8 Nov 2018 · Until 23 May 2025
A2 Capital LLP (no longer appointed)
FRN 818258 · Appointed 29 Aug 2018 · Until 30 Aug 2019 · Tied agent
KPC Investments Limited (no longer appointed)
FRN 818229 · Appointed 29 Aug 2018 · Until 1 Apr 2020 · Tied agent
Arena Investors UK Limited (no longer appointed)
FRN 814059 · Appointed 16 Jul 2018 · Until 29 Mar 2019
Auerbach Grayson UK Ltd (no longer appointed)
FRN 811356 · Appointed 12 Jun 2018 · Until 30 Apr 2020 · Tied agent
Aretex Capital Management (UK) Ltd (no longer appointed)
FRN 811365 · Appointed 12 Jun 2018 · Until 5 Mar 2020 · Tied agent
Foxford Advisors LLP (no longer appointed)
FRN 810778 · Appointed 5 Jun 2018 · Until 7 Oct 2019 · Tied agent
New Science Ventures Management Ltd (no longer appointed)
FRN 809048 · Appointed 14 May 2018 · Until 20 Nov 2020
Fairtree Asset Management LLP (no longer appointed)
FRN 806865 · Appointed 18 Apr 2018 · Until 1 May 2019
Harrison Street Real Estate Capital Ltd (no longer appointed)
FRN 806260 · Appointed 11 Apr 2018 · Until 29 Dec 2021

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.