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.

  • Joel Yehuda Bensoor

    IRN JYB00005

    • CF30 Customer (14 Sep 2016 to 1 Dec 2016)
  • Joff Charles Hamilton-Dick

    IRN JXH00368

    • CF1 Director (AR) (3 Mar 2021 to 27 Oct 2023)
  • John Anthony Montgomery Jr

    IRN JXM01009

    • CF30 Customer (since 31 Mar 2022)
    • CF1 Director (AR) (since 31 Mar 2022)
  • John Claster Rosenberg

    IRN JCR01148

    • CF1 Director (AR) (since 5 Dec 2018)
    • CF30 Customer (since 5 Dec 2018)
  • John Laurence Sullivan

    IRN JLS01085

    • CF30 Customer (10 Jul 2017 to 12 Apr 2019)
    • CF1 Director (AR) (10 Jul 2017 to 12 Apr 2019)
  • John Martin Griffiths

    IRN JMG01289

    • CF1 Director (29 Feb 2016 to 23 Feb 2017)
  • John Moncure King

    IRN JXK01120

    • CF1 Director (AR) (28 Feb 2019 to 7 Feb 2025)
    • CF30 Customer (28 Feb 2019 to 7 Feb 2025)
    • CF3 Chief Executive (AR) (28 Feb 2019 to 7 Feb 2025)
  • John Moore McMillan

    IRN JMM01158

    • CF1 Director (AR) (30 Oct 2015 to 27 Apr 2018)
    • CF30 Customer (30 Oct 2015 to 27 Apr 2018)
  • John Noel Doyle

    IRN JND01030

    • CF30 Customer (11 Jun 2018 to 7 Oct 2019)
    • CF4 Partner (AR) (11 Jun 2018 to 7 Oct 2019)
  • John Roger Byrne

    IRN JXB00835

    • CF1 Director (AR) (8 Sep 2021 to 12 Feb 2025)
    • CF3 Chief Executive (AR) (8 Sep 2021 to 12 Feb 2025)
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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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