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.

• Michael Joseph Ekers

  IRN MJE01070

  • CF30 Customer (1 Nov 2007 to 5 Jun 2013)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Michael Nicholas Biggs

  IRN MNB01012

  • SMF7 Group Entity Senior Manager (3 Mar 2020 to 1 Dec 2025)
• Michael Squire Holmes

  IRN MSH01095

  • CF1 Director (22 Jan 2010 to 27 Jan 2015)
  • CF28 Systems and controls (15 Oct 2008 to 22 Jan 2010)
• Michelle Turner

  IRN MXT00492

  • [FCA CF] Significant management (17 Apr 2023 to 30 Jan 2026)
• Nathan Brown

  IRN NSB01038

  • CF30 Customer (1 Nov 2007 to 2 Apr 2008)
  • CF21 Investment Adviser (1 Aug 2002 to 31 Oct 2007)
• Nazrul Abdul Kazi

  IRN NAK01042

  • SMF7 Group Entity Senior Manager (1 Sep 2022 to 1 Dec 2025)
• Neil Andrew Morgan

  IRN NAM01134

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (21 Mar 2011 to 8 Dec 2019)
• Neil Mark Langford

  IRN NML01020

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Oct 2013 to 8 Dec 2019)
• Nicholas Dilworth

  IRN NXD00296

  • [FCA CF] Significant management (23 Jan 2024 to 9 Jul 2024)
  • [FCA CF] Material risk taker (23 Jan 2024 to 9 Jul 2024)
• Nicholas Graham Roberts

  IRN NGR01023

  • CF30 Customer (29 Sep 2009 to 17 Jan 2014)

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