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.

• Patrick Germain Henri Van Overbroek

  IRN PGV01016

  • CF30 Customer (5 Sep 2016 to 1 Oct 2019)
  • CF1 Director (AR) (5 Sep 2016 to 1 Oct 2019)
• Patrick James Lawther

  IRN PJL01231

  • CF30 Customer (since 12 Sep 2025)
• Patrick John Pierre Johnston

  IRN PJJ01101

  • CF30 Customer (22 Mar 2022 to 11 Oct 2022)
• Patrick John Sumner

  IRN PJS01194

  • CF30 Customer (22 Dec 2015 to 31 Mar 2016)
• Patrick Kratus

  IRN PXP00161

  • CF30 Customer (since 21 May 2021)
  • CF3 Chief Executive (AR) (since 21 May 2021)
  • CF1 Director (AR) (since 21 May 2021)
• Patrick Puzzuoli

  IRN PXP01519

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (14 Jan 2019 to 8 Dec 2019)
• Paul Andrew Bevan

  IRN PAB01340

  • CF30 Customer (9 Dec 2021 to 1 Feb 2023)
  • CF1 Director (AR) (9 Dec 2021 to 1 Feb 2023)
• Paul Crawford

  IRN PXC02457

  • CF30 Customer (26 Apr 2018 to 1 May 2019)
  • CF4 Partner (AR) (26 Apr 2018 to 1 May 2019)
• Paul Elliott

  IRN PPE01006

  • CF30 Customer (13 Apr 2022 to 31 Mar 2023)
  • CF1 Director (AR) (13 Apr 2022 to 31 Mar 2023)
• Paul Guy Desmarais III

  IRN PXD00389

  • CF1 Director (AR) (29 Jul 2024 to 7 Mar 2025)

• 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

No changes recorded yet.