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.

• Christopher James Leak

  IRN CJL01118

  • CF1 Director (AR) (since 24 Jul 2023)
  • CF30 Customer (since 24 Jul 2023)
• Christopher James Reyniers

  IRN CJR01216

  • CF30 Customer (since 23 Mar 2023)
• Christopher Mazza

  IRN CXM01040

  • CF30 Customer (since 2 Apr 2024)
• Christopher Nelson Merrill

  IRN CNM01054

  • CF1 Director (AR) (17 Apr 2018 to 29 Dec 2021)
• Christopher Noel Barry Shears

  IRN CXS00693

  • CF30 Customer (22 Mar 2023 to 8 Jan 2024)
• Christopher Paul Battig

  IRN CXB00093

  • CF30 Customer (since 17 Aug 2021)
• Christopher Simon Winter

  IRN CSW01079

  • CF3 Chief Executive (AR) (24 Mar 2016 to 3 Jun 2019)
  • CF1 Director (AR) (24 Mar 2016 to 3 Jun 2019)
  • CF30 Customer (24 Mar 2016 to 3 Jun 2019)
• Christopher William Bischoff

  IRN CWB01041

  • CF1 Director (AR) (since 25 Mar 2022)
  • CF30 Customer (since 25 Mar 2022)
• Ciaran Martin Henry

  IRN CXH00238

  • CF30 Customer (29 Jul 2024 to 27 Dec 2024)
• Claire Mathilde Briffaut

  IRN CXB00150

  • CF4 Partner (AR) (11 Dec 2020 to 13 Dec 2020)

• Origin Primary Limited (no longer appointed)

  FRN 695471 · Appointed 24 Nov 2015 · Until 29 Jan 2016 · Tied agent

• Capital For Business Limited (no longer appointed)

  FRN 723152 · Appointed 26 Oct 2015 · Until 30 Apr 2018

• PrimeRevenue Capital Management Limited (no longer appointed)

  FRN 714307 · Appointed 19 Aug 2015 · Until 1 Jul 2019

• Zodiac Seven Limited (no longer appointed)

  FRN 713383 · Appointed 10 Aug 2015 · Until 31 May 2017 · Tied agent

• The Private Capital Club Limited (no longer appointed)

  FRN 712245 · Appointed 30 Jul 2015 · Until 17 Apr 2018

• Mustard Seed Impact Ltd (no longer appointed)

  FRN 710912 · Appointed 21 Jul 2015 · Until 6 Nov 2015

No changes recorded yet.