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.

• Stefan Zlatarov

  IRN SXZ00039

  • CF30 Customer (21 Dec 2021 to 23 May 2025)
• Stefano Giardina

  IRN SXG00302

  • CF30 Customer (since 24 Oct 2025)
• Stephen Charles Marquardt

  IRN SCM01064

  • CF1 Director (AR) (28 Nov 2022 to 31 Jan 2025)
  • CF30 Customer (28 Nov 2022 to 31 Jan 2025)
• Stephen Duval

  IRN SXD00022

  • CF30 Customer (30 Mar 2021 to 26 Apr 2023)
  • CF1 Director (AR) (30 Mar 2021 to 26 Apr 2023)
• Stephen Garreth Pinkster

  IRN SGP01060

  • CF1 Director (AR) (19 Sep 2017 to 27 Apr 2018)
• Stephen James Man-Wah Thorne

  IRN SJT01231

  • CF30 Customer (since 22 Jul 2025)
  • CF4 Partner (AR) (since 22 Jul 2025)
• Stephen John Grady

  IRN SXG00677

  • CF1 Director (AR) (5 Jul 2023 to 31 Mar 2024)
  • CF30 Customer (5 Jul 2023 to 31 Mar 2024)
• Stephen Michael Burt

  IRN SMB01252

  • CF30 Customer (25 Feb 2009 to 26 Oct 2016)
• Stephen Solursh

  IRN SXS87685

  • CF1 Director (AR) (since 2 Mar 2024)
• Steven Alastair Williams

  IRN SAW01224

  • CF30 Customer (since 30 Mar 2023)

• Quant Insight limited (no longer appointed)

  FRN 708235 · Appointed 15 Mar 2018 · Until 22 May 2019

• Nexus Investment Partners LLP (no longer appointed)

  FRN 802428 · Appointed 21 Feb 2018 · Until 20 Dec 2018

• Graniteshares Limited (no longer appointed)

  FRN 798443 · Appointed 11 Jan 2018 · Until 31 Aug 2022

• Waha Capital International LLP (no longer appointed)

  FRN 792836 · Appointed 31 Oct 2017 · Until 25 Jun 2019

• Jensen Capital Partners Ltd. (no longer appointed)

  FRN 792174 · Appointed 23 Oct 2017 · Until 11 Oct 2018 · Tied agent

• WFM Asia (UK) Limited (no longer appointed)

  FRN 791722 · Appointed 17 Oct 2017 · Until 11 Jul 2025

• Origami Capital Partners UK LLP (no longer appointed)

  FRN 624539 · Appointed 1 Sep 2017 · Until 31 Aug 2018 · Tied agent

• XFM CAPITAL LIMITED (no longer appointed)

  FRN 787571 · Appointed 25 Aug 2017 · Until 30 Sep 2019

• Monstera Limited (no longer appointed)

  FRN 787505 · Appointed 24 Aug 2017 · Until 26 Feb 2018

• VGB Consulting Limited (no longer appointed)

  FRN 787279 · Appointed 22 Aug 2017 · Until 28 Sep 2018

No changes recorded yet.