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

  Show 1 limitation Hide limitations

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

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  Show 1 limitation Hide limitations

  • · 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

  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.

• Investment Setup

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

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• Richard Cratchley

  IRN RXC00199

  • [FCA CF] Significant management (since 9 Dec 2019)
• Richard Henry Kemp

  IRN RXK00090

  • [FCA CF] Client dealing (9 Dec 2019 to 17 Aug 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 17 Aug 2023)
• Richard John Chilvers

  IRN RJC01175

  • CF30 Customer (1 Nov 2007 to 15 Jul 2008)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Richard Joseph Meaney

  IRN RJM01187

  • CF30 Customer (1 Nov 2007 to 7 Nov 2018)
  • CF1 Director (1 Dec 2001 to 7 Nov 2018)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Richard Lawrence Browne

  IRN RLB01053

  • CF30 Customer (1 Nov 2007 to 29 Nov 2018)
  • CF26 Customer Trading (13 Sep 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (14 Aug 2002 to 13 Sep 2004)
• Robert Andrew Plastow

  IRN RAP01105

  • CF30 Customer (1 Nov 2007 to 20 Jul 2008)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Robert Archibald

  IRN RXA01126

  • CF30 Customer (1 Nov 2007 to 30 Apr 2014)
  • CF21 Investment Adviser (2 Aug 2004 to 31 Oct 2007)
• Robert Bradley Sack

  IRN RBS01086

  • SMF3 Executive Director (23 Jul 2025 to 1 Dec 2025)
  • SMF9 Chair of the Governing Body (23 Jul 2025 to 1 Dec 2025)
  • CF1 Director (17 Apr 2015 to 8 Dec 2019)
• Robert Denis Peel

  IRN RDP01071

  • CF30 Customer (10 Oct 2008 to 21 Dec 2011)
• Robert Douglas Gauld

  IRN RDG01042

  • CF30 Customer (1 Nov 2007 to 30 Mar 2019)
  • CF26 Customer Trading (1 Oct 2003 to 31 Oct 2007)

No changes recorded yet.