WINTERFLOOD SECURITIES LIMITED

• Principal Place of Business

  Riverbank House

  2 Swan Lane

  London

  EC4R 3GA

  UNITED KINGDOM

  Phone

  +4402031000000

  Web

  https://www.winterflood.com

• Complaints Contact

  Riverbank House

  2 Swan Lane

  London

  EC4R 3GA

  UNITED KINGDOM

  Phone

  +4402031000000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" 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, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" 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, Life Policy, 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, Spread Bet, 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.

• Trade Settlement Routing

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, 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), 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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)" is limited to the investment types granted for this activity.

• Trades With You Directly

  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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Electronic Trade Settlement

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, 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), 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.

• James Blackwell

  IRN JXB03141

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2023)
  • CF30 Customer (23 Apr 2015 to 8 Dec 2019)
• James Christopher Anthony Foster Moseley

  IRN JCM01118

  • CF30 Customer (1 Nov 2007 to 6 Sep 2018)
  • CF1 Director (13 Aug 2003 to 6 Sep 2018)
  • CF21 Investment Adviser (14 Aug 2002 to 31 Oct 2007)
• James David Stewart Beaton

  IRN JXB24587

  • SMF4 Chief Risk (20 Feb 2020 to 24 Nov 2023)
• James Hicks Wood

  IRN JHW01054

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (1 Aug 2021 to 31 Jul 2022)
  • CF30 Customer (3 Nov 2015 to 8 Dec 2019)
• James Leather

  IRN JXL00800

  • [FCA CF] Client dealing (since 22 Mar 2024)
• James Paul Wharton

  IRN JPW01206

  • [FCA CF] Significant management (9 Dec 2019 to 1 Apr 2025)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 1 Apr 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Apr 2025)
  • CF10a CASS Oversight function (14 Mar 2017 to 8 Dec 2019)
• James Purves

  IRN JXP01641

  • [FCA CF] Material risk taker (1 Aug 2021 to 31 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (1 Nov 2005 to 31 Oct 2007)
• James Richard Cameron Brown

  IRN JRB01295

  • CF30 Customer (18 Mar 2008 to 23 Nov 2012)
• James Robert Munro Runciman

  IRN JRR01043

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (1 Aug 2020 to 31 Jul 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (14 Jul 2003 to 31 Oct 2007)
• James Robert Sutton Tatchell

  IRN JRT01064

  • CF26 Customer Trading (1 Aug 2002 to 28 Jan 2005)

No changes recorded yet.