Full text of WINTERFLOOD SECURITIES US CORPORATION's X-17A-5 filed 2021-09-22 (period 2021-07-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNlTEDSTATES SECURITIES AND EXCHANGE COMMISSION** Washington, **D.C.** 20549 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires; October 31, 2023 Estimated average burden hours per response .. . . .. 12.00 | SEC FILE NUMBER | | |-----------------|--| | B-70259 | | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Secut'ities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING8/1/202Q | | | ----<br>----<br>AND ENDING 7/31/2021 | | |-------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------------|--------------------------------------|--| | | MM/DD/YY | | -<br>-<br>-<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: WINTERFLOOD SECURITIES US CORPORATION | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | 1460 BROADWAY 9TH FLOOR | | | | | | | (No. and Street) | | | | | NEWYORK | NY | | 10036 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>JANICE PARISE 212 751-4422 | | | | | | | | | (Arca Co<!e - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | CITRIN COOPERMAN & COMPANY, LLP | | | | | | | (Name - if individual, stale last, f,,rst, middle name) | | | | | 529 FIFTH A VENUE | NEWYORK | NY | 10017 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | ✓ I<br>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 cm independent public accountant 11111st be supported by a statement o\_f facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* SEC 1410 (11-05) Potential persons who are to respond to the collection of information conto1ined in thii, form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFlRMA'J…Read the full text as markdown