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.

• Bridget Ann Macaskill

  IRN BAM01113

  • SMF7 Group Entity Senior Manager (1 Apr 2020 to 17 Nov 2022)
• Bruce John Conway

  IRN BJC01050

  • CF30 Customer (1 Nov 2007 to 31 Jul 2015)
  • CF26 Customer Trading (16 Jan 2007 to 31 Oct 2007)
• CHARLOTTE EMILY MONK

  IRN CEM01107

  • [FCA CF] Client dealing (since 13 Jun 2024)
  • [FCA CF] Client dealing (1 Feb 2021 to 26 Jun 2023)
  • CF30 Customer (3 Apr 2013 to 8 Dec 2019)
• Carl Goossens

  IRN CBG01010

  • CF30 Customer (1 Nov 2007 to 13 Aug 2012)
  • CF21 Investment Adviser (16 Aug 2002 to 31 Oct 2007)
• Carole Lynne Couzens

  IRN CLC01088

  • CF10a CASS Oversight function (1 Oct 2011 to 24 Apr 2017)
  • CF29 Significant management (26 Aug 2011 to 29 Jun 2017)
• Charles Andrew Winter-Vaux

  IRN CAV01040

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Sep 2023)
  • CF30 Customer (7 Sep 2016 to 8 Dec 2019)
• Charles David Cade

  IRN CDC01036

  • CF30 Customer (1 Nov 2007 to 31 Aug 2008)
  • CF21 Investment Adviser (14 Aug 2002 to 31 Oct 2007)
• Charles Frank Borman

  IRN CFB01033

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Jul 2020)
  • CF30 Customer (14 Jan 2011 to 8 Dec 2019)
• Charles Scrivener

  IRN CXS02372

  • [FCA CF] Client dealing (9 Dec 2019 to 2 Nov 2023)
  • CF30 Customer (7 Jul 2016 to 8 Dec 2019)
• Charlotte Louise Samuelson

  IRN CLS01147

  • SMF7 Group Entity Senior Manager (11 Feb 2020 to 31 May 2022)

No changes recorded yet.