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.

• Anthony Carroll

  IRN AXC03070

  • CF30 Customer (8 Dec 2015 to 10 May 2017)
• Anthony Fonte

  IRN AXF00399

  • CF4 Partner (AR) (26 Jan 2023 to 8 Jan 2024)
• Anthony Gordon

  IRN ADG01058

  • CF30 Customer (3 Feb 2022 to 6 Dec 2023)
• Anthony John Timmings

  IRN AJT01105

  • CF30 Customer (21 Feb 2022 to 14 Mar 2023)
• Anthony Lawrence Scott Mills

  IRN ALM01040

  • CF4 Partner (AR) (17 Jun 2016 to 14 Mar 2017)
  • CF30 Customer (17 Jun 2016 to 14 Mar 2017)
• Anthony Morris Rose

  IRN AXR00677

  • CF1 Director (AR) (9 Dec 2022 to 31 Oct 2024)
• Anthony Muhanna

  IRN AXM00569

  • CF4 Partner (AR) (27 Apr 2023 to 5 Jan 2024)
  • CF30 Customer (27 Apr 2023 to 5 Jan 2024)
• Anthony Siu Hong Man

  IRN ASM01229

  • CF30 Customer (1 Dec 2018 to 23 May 2025)
• Antoine Bouvet

  IRN AXB02923

  • CF30 Customer (28 Jul 2023 to 28 Feb 2024)
• Antonia Jane Rebecca Brandes

  IRN AXB84936

  • CF2 Non Executive Director (AR) (since 30 Jun 2020)

• 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.