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.

• Satvik Walia

  IRN SXW00528

  • [FCA CF] Client dealing (5 Jan 2022 to 20 Nov 2022)
• Saul Jack Proctor

  IRN SXP00918

  • CF30 Customer (since 1 Apr 2024)
• Sean Costello

  IRN SXC02139

  • CF1 Director (AR) (since 26 Jan 2019)
  • CF30 Customer (since 26 Jan 2019)
  • CF1 Director (AR) (10 Oct 2016 to 1 Feb 2018)
  • CF3 Chief Executive (AR) (10 Oct 2016 to 1 Feb 2018)
  • CF30 Customer (10 Oct 2016 to 1 Feb 2018)
• Sean Patrick Arnold

  IRN SPA01082

  • CF30 Customer (since 4 Sep 2018)
  • CF4 Partner (AR) (since 4 Sep 2018)
• Sebastien Burdel

  IRN SXB00701

  • CF4 Partner (AR) (23 Aug 2021 to 24 Jan 2022)
• Sebastien Wigdo

  IRN SXW01833

  • CF30 Customer (14 Jan 2024 to 1 Oct 2024)
• Sergei Portianoi

  IRN SXP01227

  • CF30 Customer (since 10 Oct 2025)
• Sergii Chornenkyi

  IRN SXC01089

  • CF30 Customer (since 21 Nov 2023)
• Sergio D'angelo

  IRN SXD01242

  • CF1 Director (AR) (1 Dec 2016 to 5 Mar 2020)
  • CF30 Customer (1 Dec 2016 to 5 Mar 2020)
• Seth Pierrepont

  IRN SXP02964

  • CF4 Partner (AR) (since 19 Apr 2022)
  • CF30 Customer (since 19 Apr 2022)

• 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.