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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 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.

• 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.

• Timothy David Samuel Shortill

  IRN TXS03966

  • CF1 Director (AR) (19 Jan 2024 to 23 Jul 2025)
• Timothy John Ayerbe

  IRN TJA01055

  • CF30 Customer (19 Oct 2022 to 20 Jan 2024)
• Timothy Joseph McCarthy

  IRN TXM00360

  • CF1 Director (AR) (since 30 Mar 2022)
• Toby Samuel Peter Barnes-Yallowley

  IRN TSB01066

  • CF30 Customer (8 Feb 2021 to 30 Jun 2022)
• Tomaz Sesek

  IRN TXS02144

  • CF4 Partner (AR) (4 May 2017 to 23 Apr 2020)
• Toni Frances McDermott

  IRN TFM01013

  • CF1 Director (AR) (since 22 Jun 2024)
  • CF30 Customer (since 22 Jun 2024)
• Tracy Anne Dossett

  IRN TAD01065

  • CF4 Partner (AR) (since 22 Mar 2018)
• Troy James Tomasik

  IRN TJT01059

  • CF30 Customer (27 Apr 2017 to 5 Jul 2018)
• Ulrik Engelschion

  IRN UXE01024

  • CF1 Director (AR) (29 Oct 2019 to 2 Dec 2020)
  • CF30 Customer (29 Oct 2019 to 2 Dec 2020)
• Vasileios Kocheilas

  IRN VXK01203

  • CF30 Customer (25 Sep 2020 to 31 Dec 2022)

• Savannah Capital Limited (no longer appointed)

  FRN 979587 · Appointed 22 Jul 2022 · Until 30 Aug 2024

• Complus Asset Management (UK) Limited (no longer appointed)

  FRN 979375 · Appointed 19 Jul 2022 · Until 28 Feb 2024

• Collington Capital Limited (no longer appointed)

  FRN 979171 · Appointed 15 Jul 2022 · Until 18 Oct 2024

• Quintessence Capital Management Limited (no longer appointed)

  FRN 978156 · Appointed 29 Jun 2022 · Until 31 Aug 2023

• Essex Woodlands Health Ventures UK Limited (no longer appointed)

  FRN 985899 · Appointed 10 Jun 2022 · Until 14 Jan 2025

• River and Mercantile Infrastructure LLP (no longer appointed)

  FRN 949495 · Appointed 28 Feb 2022 · Until 28 Jun 2024

• Orchard Way Capital Partners (UK) LLP (no longer appointed)

  FRN 970315 · Appointed 21 Feb 2022 · Until 30 Apr 2024

• Atlas Commodities LLC (no longer appointed)

  FRN 969722 · Appointed 13 Feb 2022 · Until 20 Apr 2023

• Addlewood Investment Advisors Limited (no longer appointed)

  FRN 969329 · Appointed 6 Feb 2022 · Until 29 Nov 2024

• Tiger Global Service UK LLP (no longer appointed)

  FRN 968595 · Appointed 25 Jan 2022 · Until 30 Jun 2025

No changes recorded yet.