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.

• Sewanyana Gulemye Kironde

  IRN SGK01016

  • CF4 Partner (AR) (20 Apr 2022 to 29 Apr 2024)
  • CF30 Customer (20 Apr 2022 to 29 Apr 2024)
• Shahid Ramzan

  IRN SXR01223

  • CF30 Customer (26 Jul 2018 to 29 Mar 2019)
• Shailen Modi

  IRN SXM02053

  • CF30 Customer (11 Oct 2016 to 1 Dec 2016)
• Shannon Cody

  IRN SKC01034

  • CF30 Customer (1 Aug 2019 to 30 Aug 2024)
• Shawn Gates

  IRN SWG01033

  • CF30 Customer (13 Mar 2020 to 30 Sep 2020)
  • CF4 Partner (AR) (6 Jun 2016 to 19 Feb 2019)
• Shivang Kumar More

  IRN SXM04645

  • CF30 Customer (since 24 Feb 2025)
• Shruti Yadav Tournatory

  IRN SXY00123

  • CF30 Customer (since 4 Oct 2024)
• Shukri Shammas

  IRN SXS04963

  • CF30 Customer (since 8 Dec 2017)
  • CF1 Director (AR) (since 8 Dec 2017)
• Siddharth Trivedi

  IRN SXT01758

  • CF30 Customer (2 Oct 2023 to 1 May 2025)
• Simeon Dominic Downes

  IRN SDD01052

  • CF1 Director (AR) (since 5 Feb 2016)
  • CF30 Customer (5 Feb 2016 to 8 Dec 2019)

• 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.