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.

• Francois Josef Hora

  IRN FJH01028

  • CF30 Customer (28 Jul 2022 to 28 Feb 2024)
  • CF1 Director (AR) (28 Jul 2022 to 28 Feb 2024)
• Frans Tieleman

  IRN FXT00038

  • CF30 Customer (22 Oct 2021 to 23 May 2022)
• Frederic Desobry

  IRN FXD24538

  • CF30 Customer (23 Dec 2021 to 30 Nov 2024)
• Ganesh Ramakrishnan

  IRN GXR00223

  • CF30 Customer (since 6 Jan 2023)
• Gareth Kevin Connellan

  IRN GXC00535

  • CF30 Customer (15 Feb 2024 to 25 Jun 2024)
• Garry Jensen

  IRN GXJ01075

  • CF1 Director (AR) (28 Oct 2017 to 5 Oct 2018)
  • CF30 Customer (28 Oct 2017 to 5 Oct 2018)
• Garth Hackshall

  IRN GXH01282

  • CF30 Customer (since 3 May 2023)
  • CF1 Director (AR) (since 3 May 2023)
• Gautam Shah Singh

  IRN GSS01043

  • CF1 Director (AR) (20 Mar 2018 to 22 May 2019)
• Gavin George Templeton

  IRN GGT01010

  • CF30 Customer (20 Feb 2023 to 23 May 2024)
• Gemma Cranston

  IRN GXC00512

  • CF30 Customer (8 Nov 2023 to 14 Oct 2025)

• Prelude Capital (UK) Ltd (no longer appointed)

  FRN 997711 · Appointed 9 Jun 2023 · Until 24 Feb 2025

• Paragon Global Markets Ltd (no longer appointed)

  FRN 997710 · Appointed 9 Jun 2023 · Until 31 Mar 2024 · Tied agent

• One Investment Management Group UK Ltd. (no longer appointed)

  FRN 995823 · Appointed 3 May 2023 · Until 1 May 2025

• Meridian Advisers Ltd (no longer appointed)

  FRN 992120 · Appointed 20 Feb 2023 · Until 29 Feb 2024

• Pollination Financial Services Limited (no longer appointed)

  FRN 925018 · Appointed 10 Feb 2023 · Until 14 Oct 2025

• I Squared Capital Advisors (UK) LLP (no longer appointed)

  FRN 990333 · Appointed 19 Jan 2023 · Until 8 Jan 2024

• Atlas Holdings B.V. (UK Branch) (no longer appointed)

  FRN 987841 · Appointed 28 Nov 2022 · Until 2 Jan 2026

• SeedLegals MPL Limited (no longer appointed)

  FRN 987839 · Appointed 28 Nov 2022 · Until 1 Nov 2024

• Vemi Capital Limited (no longer appointed)

  FRN 986548 · Appointed 3 Nov 2022 · Until 25 Mar 2026

• Cambridge Machines Limited (no longer appointed)

  FRN 980054 · Appointed 29 Jul 2022 · Until 29 Jun 2023

No changes recorded yet.