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.

• Barry William Conner

  IRN BXC00082

  • [FCA CF] Algorithmic trading (9 Dec 2019 to 3 Jan 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Jul 2021)
• Ben Cooper

  IRN BXC00291

  • [FCA CF] Algorithmic trading (since 24 Nov 2022)
• Ben Michael Goodchild

  IRN BMG01049

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Mar 2025)
  • CF30 Customer (30 Jan 2013 to 8 Dec 2019)
• Ben Ralph-Davies

  IRN BXR01236

  • [FCA CF] Material risk taker (1 Aug 2020 to 31 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Sep 2023)
  • CF30 Customer (13 Mar 2008 to 8 Dec 2019)
• Benjamin Fitzjohn

  IRN BXF01040

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Benjamin Fuller

  IRN BXF01087

  • [FCA CF] Material risk taker (1 Aug 2020 to 31 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 18 Dec 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 18 Dec 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (3 Aug 2006 to 31 Oct 2007)
• Benjamin Michael McCorkill

  IRN BMM01020

  • [FCA CF] Material risk taker (1 Aug 2020 to 31 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Oct 2024)
  • CF30 Customer (27 Jan 2010 to 8 Dec 2019)
  • CF26 Customer Trading (4 Dec 2003 to 18 Sep 2007)
• Bradley Terence Dyer

  IRN BTD01005

  • SMF1 Chief Executive (since 20 Sep 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF10 Chair of the Risk Committee (20 Sep 2022 to 1 Dec 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 19 Sep 2022)
  • [FCA CF] Algorithmic trading (9 Dec 2019 to 29 Jul 2021)
  • CF1 Director (17 Feb 2017 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (19 Jul 2004 to 31 Oct 2007)
• Brandon Lee Pratt

  IRN BXP00340

  • [FCA CF] Client dealing (since 30 Jun 2025)
• Brian Martin Winterflood

  IRN BMW01016

  • CF2 Non Executive Director (5 Mar 2002 to 30 Sep 2011)
  • CF26 Customer Trading (1 Dec 2001 to 5 Mar 2002)
  • CF1 Director (1 Dec 2001 to 5 Mar 2002)

No changes recorded yet.