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.

• Simon Bruce Langman

  IRN SBL01006

  • CF26 Customer Trading (1 Dec 2001 to 8 Mar 2003)
• Simon James Fenn

  IRN SJF01120

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 16 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 16 Jun 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Simon King

  IRN SXK00702

  • [FCA CF] Functions requiring qualifications (18 Sep 2023 to 24 May 2024)
• Simon Mark Rafferty

  IRN SMR01064

  • SMF24 Chief Operations (since 9 Dec 2019)
  • SMF2 Chief Finance (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 1 Dec 2025)
  • CF1 Director (28 Feb 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (21 Oct 2005 to 7 Sep 2016)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 7 Sep 2016)
• Simon Martyn Elliott

  IRN SME01032

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Aug 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Aug 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (23 Jan 2003 to 31 Oct 2007)
• Sophia Bechev

  IRN SXB03899

  • [FCA CF] Client dealing (since 8 Oct 2024)
• Sophie Margaret Lampshire

  IRN SXL02075

  • [FCA CF] Client dealing (17 Dec 2021 to 9 Apr 2024)
• Spencer Owen Crooks

  IRN SOC01003

  • CF30 Customer (1 Nov 2007 to 22 Mar 2017)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 22 Mar 2017)
• Stacey Brown

  IRN SAP01067

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Nov 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 28 Jul 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (1 Aug 2002 to 31 Oct 2007)
• Stephane Paul Landers

  IRN SPL01047

  • CF30 Customer (9 Feb 2009 to 16 Dec 2009)

No changes recorded yet.