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

  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.

• Andrew Pinfield

  IRN AXP01297

  • CF30 Customer (since 11 Nov 2025)
• Andrew Shrimpton

  IRN AXS03746

  • CF1 Director (26 Jan 2015 to 5 Apr 2016)
• Andrew Warburton

  IRN AXW01686

  • CF1 Director (AR) (29 Jul 2020 to 5 Mar 2022)
• Angela Marie Russell

  IRN AMR01225

  • CF1 Director (AR) (since 29 Dec 2021)
  • CF1 Director (AR) (31 Mar 2017 to 5 Jul 2018)
• Anika Scott

  IRN AXS80081

  • CF30 Customer (20 May 2020 to 7 Oct 2021)
• Anirban Kundu

  IRN AXK84409

  • CF30 Customer (19 Jun 2020 to 31 Dec 2022)
• Anish Patel

  IRN AXP01518

  • CF30 Customer (since 14 Feb 2024)
• Anna Maria Textor

  IRN AXT00654

  • CF30 Customer (since 24 Apr 2024)
• Anna Veronica Augustsson

  IRN AXA00146

  • CF30 Customer (since 15 Dec 2020)
  • CF1 Director (AR) (since 15 Dec 2020)
• Anne-Sophie Eveno

  IRN AXE01689

  • CF30 Customer (2 Mar 2022 to 17 Jan 2024)

• 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.