KROLL SECURITIES LTD.

Date authorised
1 April 2013
Companies House
06029386
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David Andrew Barley

    IRN DAB01360

    • CF30 Customer (22 Jun 2024 to 31 Mar 2025)
  • David Benjamin Marks

    IRN DXM01626

    • CF4 Partner (AR) (since 19 Mar 2018)
    • CF30 Customer (since 19 Mar 2018)
  • David Coleman

    IRN DXC02628

    • CF30 Customer (5 Mar 2018 to 19 Feb 2019)
  • David Farkas

    IRN DXF00314

    • CF1 Director (AR) (19 Jul 2024 to 28 Feb 2025)
    • CF30 Customer (19 Jul 2024 to 28 Feb 2025)
  • David James Farrell

    IRN DJF01230

    • CF30 Customer (19 Jan 2016 to 10 May 2017)
  • David John Church

    IRN DJC01207

    • CF30 Customer (22 Dec 2015 to 31 Mar 2016)
    • CF3 Chief Executive (AR) (22 Dec 2015 to 31 Mar 2016)
    • CF1 Director (AR) (22 Dec 2015 to 31 Mar 2016)
  • David Koh Kok Xiong

    IRN DXK01802

    • CF30 Customer (10 Jan 2018 to 19 Jan 2018)
  • David Nicholls

    IRN DXN01213

    • CF1 Director (AR) (since 5 Mar 2026)
  • David Nicol

    IRN DXN00003

    • CF30 Customer (1 Mar 2025 to 11 Feb 2026)
  • David Stuart Grayson

    IRN DSG01086

    • CF3 Chief Executive (AR) (26 Jun 2018 to 30 Apr 2020)
    • CF1 Director (AR) (26 Jun 2018 to 30 Apr 2020)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

Updates to this firm's record on the FCA register.

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