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.

• Edward Young

  IRN EXY01053

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Apr 2024)
  • CF30 Customer (26 Sep 2013 to 8 Dec 2019)
• Eily Kerr

  IRN EXK00174

  • [FCA CF] Client dealing (25 Jul 2023 to 13 Mar 2026)
• Elliott Hardy

  IRN EXH00268

  • [FCA CF] Client dealing (24 May 2023 to 20 Feb 2025)
• Emma Clare Bird

  IRN ECB01055

  • [FCA CF] Manager of certification employee (since 28 Jul 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Mar 2016 to 8 Dec 2019)
• Eoghan Beamish

  IRN EXB00404

  • [FCA CF] Material risk taker (since 6 Feb 2024)
  • [FCA CF] Significant management (since 6 Feb 2024)
• Faye Abigail Bowen

  IRN FAR01006

  • CF30 Customer (1 Jul 2011 to 10 Dec 2012)
  • CF26 Customer Trading (1 Dec 2001 to 16 Dec 2005)
• Franklyn Anthony Bennett

  IRN FAB01051

  • [FCA CF] Material risk taker (1 Aug 2020 to 31 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 May 2024)
  • CF30 Customer (27 May 2016 to 8 Dec 2019)
• Gareth Colin Frensham

  IRN GCF01008

  • CF30 Customer (1 Nov 2007 to 8 Jan 2008)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Gareth James Henderson

  IRN GJH01091

  • CF30 Customer (1 Nov 2007 to 5 Nov 2019)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Geoffrey James Hone

  IRN GJH01106

  • CF30 Customer (1 Nov 2007 to 31 Jan 2015)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.