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.

• Philip William Shepherd

  IRN PWS01077

  • CF1 Director (AR) (since 29 Aug 2023)
• Philipp Christian Saumweber

  IRN PXS06726

  • CF4 Partner (AR) (since 28 Sep 2018)
  • CF30 Customer (since 28 Sep 2018)
• Philippe Arbour

  IRN PXA01509

  • CF1 Director (AR) (since 26 Feb 2024)
  • CF30 Customer (since 26 Feb 2024)
• Phillip Michael Feier

  IRN PMF01086

  • CF30 Customer (16 Sep 2014 to 26 Aug 2016)
• Pierre Stephane Francois Watchi

  IRN PXW22903

  • CF30 Customer (31 Oct 2019 to 8 Dec 2019)
• Poorna Sindhu Jetty

  IRN PXJ22967

  • CF30 Customer (1 Nov 2019 to 11 Nov 2019)
  • CF4 Partner (AR) (1 Nov 2019 to 11 Nov 2019)
• Pradip Kumar Patel

  IRN PXP01141

  • CF30 Customer (1 Sep 2016 to 1 Dec 2016)
  • CF4 Partner (AR) (1 Sep 2016 to 1 Dec 2016)
• Praveen Lingathoti

  IRN PXL24026

  • CF30 Customer (16 Nov 2019 to 13 Aug 2020)
• Prithvi Boggavaram

  IRN PXB00381

  • CF30 Customer (since 4 Sep 2023)
• Pui Kei Yuen

  IRN PKY01001

  • CF1 Director (AR) (5 Apr 2016 to 27 Apr 2018)
  • CF30 Customer (12 Feb 2016 to 27 Apr 2018)

• Lord Abbett (UK) Ltd. (no longer appointed)

  FRN 783356 · Appointed 4 Jul 2017 · Until 1 Aug 2022

• Adelpha Network Ltd (no longer appointed)

  FRN 777604 · Appointed 27 Apr 2017 · Until 30 Apr 2018

• Emona Capital LLP (no longer appointed)

  FRN 777602 · Appointed 27 Apr 2017 · Until 23 Apr 2020 · Tied agent

• Emerald Capital Advisors Limited (no longer appointed)

  FRN 777605 · Appointed 27 Apr 2017 · Until 15 Apr 2019

• Warwick Partners Limited (no longer appointed)

  FRN 776862 · Appointed 19 Apr 2017 · Until 12 May 2017 · Tied agent

• WElink Energy (U.K.) Limited (no longer appointed)

  FRN 771366 · Appointed 10 Feb 2017 · Until 26 Apr 2017

• Mayfair Capital Markets Limited (no longer appointed)

  FRN 768029 · Appointed 22 Dec 2016 · Until 18 Jun 2018

• Abercross Holdings Limited (no longer appointed)

  FRN 766337 · Appointed 5 Dec 2016 · Until 13 Feb 2018

• ZZ Capital International (UK) Limited (no longer appointed)

  FRN 762714 · Appointed 25 Oct 2016 · Until 3 Jul 2018

• Mayer Park Capital Limited (no longer appointed)

  FRN 759596 · Appointed 30 Sep 2016 · Until 2 Feb 2018

No changes recorded yet.