KROLL SECURITIES LTD.

Date authorised
1 April 2013
Companies House
06029386
Last scraped
2 weeks ago
Watch for changes

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.

  • Mary Criebardis Singh

    IRN MXC03218

    • CF30 Customer (30 Mar 2021 to 16 Aug 2022)
    • CF4 Partner (AR) (30 Mar 2021 to 16 Aug 2022)
  • Mary Elisabeth Abbott

    IRN MXA00970

    • CF1 Director (AR) (since 19 Jan 2024)
    • CF30 Customer (since 19 Jan 2024)
  • Maryline Laure Fernande Kulawik

    IRN MLK01044

    • CF4 Partner (AR) (15 Nov 2019 to 29 Dec 2023)
    • CF30 Customer (15 Nov 2019 to 29 Dec 2023)
  • Mathias Robert Schumacher

    IRN MRS01226

    • CF30 Customer (10 Jun 2009 to 15 Jul 2016)
    • CF10 Compliance Oversight (5 Dec 2007 to 20 Aug 2008)
    • CF11 Money Laundering Reporting (5 Dec 2007 to 20 Aug 2008)
    • CF1 Director (5 Dec 2007 to 20 Aug 2008)
    • CF3 Chief Executive (5 Dec 2007 to 20 Aug 2008)
  • Mathieu Pinson

    IRN MXP01539

    • CF30 Customer (16 Jan 2017 to 1 Jun 2017)
  • Matthew Dewitt Hansen

    IRN MXH02339

    • CF30 Customer (10 Jul 2019 to 8 Dec 2019)
    • CF4 Partner (AR) (10 Jul 2019 to 5 Apr 2023)
  • Matthew John Allaire Dougherty

    IRN MXD20097

    • CF30 Customer (13 Sep 2019 to 12 Dec 2024)
    • CF4 Partner (AR) (13 Sep 2019 to 12 Dec 2024)
  • Matthew Nelson Phillips

    IRN MNP01034

    • CF30 Customer (since 5 Jul 2018)
  • Matthew Orbell

    IRN MXO00267

    • [FCA CF] Client dealing (since 20 May 2024)
  • Matthew Rees

    IRN MXR02196

    • CF30 Customer (8 Jul 2021 to 5 Mar 2024)
    • CF1 Director (AR) (8 Jul 2021 to 5 Mar 2024)
Show more

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Show more

Recent activity

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

No changes recorded yet.