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.

  • Joseph Charles Schull

    IRN JCS01073

    • CF30 Customer (20 May 2019 to 2 Jan 2020)
    • CF4 Partner (AR) (20 May 2019 to 2 Jan 2020)
  • Joseph Emmanuel David

    IRN JED01157

    • CF30 Customer (7 Sep 2016 to 16 Feb 2018)
  • Joseph Evans

    IRN JXE00378

    • CF1 Director (AR) (since 17 Oct 2025)
    • CF30 Customer (since 15 Mar 2025)
  • Joseph Gebran

    IRN JXG01850

    • CF2 Non Executive Director (AR) (15 Mar 2016 to 1 Sep 2016)
  • Joseph O'Mara

    IRN JXO01547

    • CF4 Partner (AR) (since 16 Apr 2025)
    • CF30 Customer (since 16 Apr 2025)
  • Joseph Smart

    IRN JXS00871

    • [FCA CF] Client dealing (since 1 Sep 2025)
  • Juan Pablo Berrios

    IRN JXB00977

    • CF30 Customer (since 26 Aug 2025)
  • Julian Machicao Arano

    IRN JVM01044

    • CF30 Customer (17 Jan 2024 to 1 May 2025)
  • Julie Pearce

    IRN JXP01331

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF1 Director (10 Oct 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 Dec 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Dec 2017 to 8 Dec 2019)
  • Julien Raffelsbauer

    IRN JXR01329

    • CF30 Customer (20 Sep 2023 to 31 Dec 2024)
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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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