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WJ

William Johnson

WINTERFLOOD SECURITIES US
New York, NY 10036
Some features on this profile are disabled
CRD#: 7815170
WJ

Professional summary

William Johnson is a registered financial professional currently at WINTERFLOOD SECURITIES US CORPORATION located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 2023. William has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Johnson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 6, 2023 - Present

WINTERFLOOD SECURITIES US CORPORATION

Office #1: 1460 Broadway 9th Floor, New York, NY, 10036
BD
CRD#: 299110
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(10/22/2024)
RR
California
(10/22/2024)
RR
Colorado
(10/22/2024)
RR
Connecticut
(10/22/2024)
RR
Florida
(10/22/2024)
RR
Illinois
(10/22/2024)
RR
Kansas
(10/22/2024)
RR
Maryland
(10/22/2024)
RR
Massachusetts
(10/22/2024)
RR
Missouri
(10/22/2024)
RR
New Jersey
(10/22/2024)
RR
New York
(10/21/2024)
RR
Ohio
(10/22/2024)
RR
Pennsylvania
(10/22/2024)
RR
Texas
(10/22/2024)
RR
Utah
(10/22/2024)
RR
Virginia
(10/22/2024)
RR
Wisconsin
(10/22/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/21/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/6/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/6/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/7/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WINTERFLOOD SECURITIES US CORPORATION
WINTERFLOOD SECURITIES US CORPORATION

CRD#: 299110 / SEC#: , 8-70259

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1460 Broadway 9th Floor, New York, NY, 10036
Mailing Address
1460 Broadway 9th Floor, New York, NY, 10036
Phone number
(917) 382-1796
Established
Delaware since 07/20/2018
Firm type
Corporation
Fiscal year end
July
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WINTERFLOOD SECURITIES HOLDINGS LIMITEDSOLE MEMBER
BLANCO MARQUEZ, ADRIANA GRISELLECHIEF COMPLIANCE OFFICER7778003
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
JOHNSON, WILLIAMPRESIDENT, CHIEF EXECUTIVE OFFICER AND TREASURER7815170
PARISE, JANICE DRUFINANCIAL AND OPERATIONS PRINCIPAL2338583
RAFFERTY, SIMON MARKBOARD MEMBER7047860
STAPLETON, JAMESBOARD MEMBER7048134

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WINTERFLOOD SECURITIES US CORPORATION

CRD#: 299110New York, NY 10036

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