Full text of WINTERFLOOD SECURITIES US CORPORATION's X-17A-5 filed 2022-09-26 (period 2022-07-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response... 12.00 | | SEC FILE NUMBER | | |--|-----------------|--| | | | | 8-70259 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 REPORT FOR THE PERIOD BEGINNING 08/01/2021 AND ENDING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: WINTERFLOOD SECURITIES US CORPORATION TYPE OF REGISTRANT (check all applicable boxes): □Security-based swap dealer �Broker-dealer □Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) 146 Broadway (No. and Street) New York NY 10036 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING 212 751-4422 Janice Parise (Name) (Email Address) (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) 50 Rockefeller Center New York NY 10020 (Address) (City) (State) (Zip Code) 11/02/2005 2468 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of inthis form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION l, John Schraff, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Winterflood Securities US Corporation, as of July 31, 2022, is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any propriets in any account .le company in any partify a customer. | | DocuSigned by: | |--|-----------------------------------------------------------------------------------------------------------…Read the full text as markdown