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FIRM PROFILE
Overview
WINTERFLOOD SECURITIES US CORPORATION is located at 1460 Broadway, 9th Floor, New York, NY 10036 and was first established at New York, Delaware in 07/20/2018. After operating for 7 years, WINTERFLOOD SECURITIES US CORPORATION has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of WINTERFLOOD SECURITIES US CORPORATION’s clients are individuals and 0% of their clients are high net worth individuals. WINTERFLOOD SECURITIES US CORPORATION has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at WINTERFLOOD SECURITIES US CORPORATION are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access WINTERFLOOD SECURITIES US CORPORATION‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at WINTERFLOOD SECURITIES US CORPORATION. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for WINTERFLOOD SECURITIES US CORPORATION Comes From
Understanding the Statistics for WINTERFLOOD SECURITIES US CORPORATION and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
1460 Broadway 9th Floor, New York, NY, 10036
1460 Broadway 9th Floor, New York, NY, 10036
Small
(917) 382-1796
Delaware since 07/20/2018
Corporation
July
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| WINTERFLOOD SECURITIES HOLDINGS LIMITED | SOLE MEMBER | ||
| BLANCO MARQUEZ, ADRIANA GRISELLE | CHIEF COMPLIANCE OFFICER | 7778003 | |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 | |
| JOHNSON, WILLIAM | PRESIDENT, CHIEF EXECUTIVE OFFICER AND TREASURER | 7815170 | |
| PARISE, JANICE DRU | FINANCIAL AND OPERATIONS PRINCIPAL | 2338583 | |
| RAFFERTY, SIMON MARK | BOARD MEMBER | 7047860 | |
| STAPLETON, JAMES | BOARD MEMBER | 7048134 |
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Advisor's working at WINTERFLOOD SECURITIES US CORPORATION
Janice Dru Parise
James Hugh Doherty
Adriana Griselle Blanco Marquez
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