Full text of WINTERFLOOD SECURITIES US CORPORATION's X-17A-5 filed 2023-09-29 (period 2023-07-31). 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 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\_\_08/01/2022 AND ENDING\_\_\_\_\_\_\_\_\_\_ 7/31/2023 | | MM/DD/YY | | MM/DD/YY | | |-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|--------------------------------------------------------|--------------------------------------------|--| | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: WINTERFLOOD SECURITIES US CORPORATION | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>& Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | OSecurity-based swap dealer | □Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 1460 Broadway | | | | | | | | (No. and Street) | | | | New York | | NY | 10036 | | | (City) | | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Janice Parise | | | 212 751-4477 | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | 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) | | | | 709 Westchester Avenue | White Plains | NY | 10604 | | | (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 a 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 appicable 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. | | OMB APPROVAL | | |-----------------------------|------------------|--| | OMB Number: | 3235-0123 | | | Expires: | October 31, 2023…Read the full text as markdown