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.

  • Paul Lawrence Sayers

    IRN PLS01092

    • CF30 Customer (since 1 May 2024)
  • Paul Mark Valentine

    IRN PXV00018

    • CF30 Customer (2 Dec 2022 to 18 Apr 2023)
  • Paul Sealy

    IRN PXS03030

    • CF30 Customer (23 Jul 2018 to 29 Mar 2019)
    • CF1 Director (AR) (23 Jul 2018 to 29 Mar 2019)
  • Paul Theodore Teuten

    IRN PTT01006

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
    • CF1 Director (20 Aug 2008 to 2 Mar 2015)
    • CF30 Customer (20 Aug 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Aug 2008 to 28 Jan 2015)
    • CF10 Compliance Oversight (20 Aug 2008 to 28 Jan 2015)
    • CF3 Chief Executive (20 Aug 2008 to 2 Mar 2015)
  • Paul Wayne Bashir

    IRN PWB01098

    • CF1 Director (AR) (22 Sep 2020 to 29 Dec 2021)
  • Paul William Murphy

    IRN PXM00413

    • CF30 Customer (since 14 Jan 2022)
    • CF4 Partner (AR) (since 14 Jan 2022)
  • Per Mario Floden

    IRN PMF01060

    • CF30 Customer (14 Sep 2021 to 13 Jan 2023)
    • CF4 Partner (AR) (14 Sep 2021 to 13 Jan 2023)
  • Percy Faredoon Marchant

    IRN PFM01023

    • CF4 Partner (AR) (since 2 Feb 2021)
    • CF30 Customer (since 4 Jan 2021)
    • CF3 Chief Executive (AR) (since 4 Jan 2021)
    • CF1 Director (AR) (4 Jan 2021 to 8 Jan 2021)
  • Peter Alexander Bacon

    IRN PAB01172

    • CF30 Customer (since 30 Nov 2022)
    • CF1 Director (AR) (since 30 Nov 2022)
  • Peter Christoph Patrick Specht

    IRN PXS00621

    • CF4 Partner (AR) (since 18 Jul 2023)
    • CF30 Customer (since 25 Jan 2023)
    • CF4 Partner (AR) (25 Jan 2023 to 20 Feb 2023)
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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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