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

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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.

• 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.

• Nico Christian Haller

  IRN NCH01081

  • CF30 Customer (20 Sep 2017 to 5 Mar 2020)
• Nicola Louise David

  IRN NLD01017

  • [FCA CF] Client dealing (since 3 Feb 2020)
• Nicolas Edward James Inman

  IRN NXI00039

  • SMF3 Executive Director (since 1 Nov 2023)
• Nicolas Guilloteau

  IRN NXG01543

  • CF30 Customer (13 Nov 2019 to 29 Dec 2023)
  • CF4 Partner (AR) (13 Nov 2019 to 29 Dec 2023)
• Nicolas James Crofts Tranter

  IRN NJT01040

  • CF1 Director (AR) (17 Mar 2021 to 4 Apr 2022)
  • CF30 Customer (17 Mar 2021 to 4 Apr 2022)
• Nicolas, Albert Huet

  IRN NXH00235

  • CF30 Customer (29 Sep 2021 to 23 May 2022)
  • CF1 Director (AR) (29 Sep 2021 to 23 May 2022)
• Nigel Winkett

  IRN NXW91991

  • CF30 Customer (4 Dec 2021 to 1 Feb 2023)
  • CF1 Director (AR) (4 Dec 2021 to 1 Feb 2023)
• Noah Gottdiener

  IRN NXG01218

  • CF1 Director (5 Dec 2007 to 8 Oct 2012)
• Oliver Chan

  IRN OXC00089

  • CF30 Customer (since 23 Sep 2024)
• Oliver Jacob Levy

  IRN OJL01006

  • CF1 Director (AR) (30 Oct 2020 to 27 Dec 2024)
  • CF3 Chief Executive (AR) (30 Oct 2020 to 27 Dec 2024)
  • CF30 Customer (30 Oct 2020 to 27 Dec 2024)

• Wafra Europe Limited

  FRN 833816 · Appointed 15 Feb 2019

• Mayer Park Capital Limited

  FRN 759596 · Appointed 23 Jan 2019

• Mudrick Capital Management (UK) Ltd

  FRN 827614 · Appointed 3 Dec 2018

• Farview Equity Partners Limited

  FRN 827190 · Appointed 28 Nov 2018

• Sunridge Partners (UK) LLP

  FRN 821518 · Appointed 24 Sep 2018

• GLMX Europe Limited

  FRN 816569 · Appointed 16 Aug 2018

• Crosstree Real Estate Partners LLP

  FRN 811850 · Appointed 18 Jun 2018

• Brockton Capital LLP

  FRN 449187 · Appointed 19 Mar 2018

• Deuterium Investment Advisors Limited

  FRN 804110 · Appointed 15 Mar 2018

• Long Arc Capital (UK) LLP

  FRN 797972 · Appointed 5 Jan 2018

No changes recorded yet.