Full text of WINTERFLOOD SECURITIES US CORPORATION's X-17A-5 filed 2020-09-28 (period 2020-07-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | | OMB APPROVAL | |-------------------------|---------------------------| | OMB Number: | 3235-0123 | | Expires: | August 31, 2020 | | stimated average burden | | | | nours per response 12.00 | SEC FILE NUMBER 8-70259 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 8/1/2019 | | AND ENDING 7/31/2020 | | | |------------------------------------------------------------------------------------------|---------------------------------------------------------------------|----------------------|------------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: WINTERFLOOD SECURITIES US CORPORATION | | OFFICIAL USE ONLY | | | | 404 FIFTH AVENUE | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | (No. and Street) | | | | | NEW YORK | NY | | 10018 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>JANICE PARISE | | | 212 751-4422<br>(Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | CITRIN COOPERMAN & COMPANY, LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 529 FIFTH AVENUE | NEW YORK | NY | 10017 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant<br>Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240c accomuni > Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1410 (11-05) {1}------------------------------------------------ # OATH OR AFFIRMATION | JOHN SCHRAFF<br>1-<br>swear (or affirm) that, swea…Read the full text as markdown