Full text of WINTERFLOOD SECURITIES US CORPORATION's X-17A-5 filed 2024-10-24 (period 2024-07-31). 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 REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > 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** FILING FOR THE PERIOD BEGINNING **08/01/2023** AND ENDING **07/31/2024** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAMEOFFIRM: WINTERFLOOD SECURITIES us CORPORATION TYPE OF REGISTRANT (check all applicable boxes): C!l Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a 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 | 212 751-4422 | | JPARISE@DFPPARTNERS.COM | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | CITRINCOOPERMAN & COMPANY, LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 709 WESTCHESTER AVENUE WHITE PLAINS | NY | 10604 | | | (Address) | (City) | (State) | (Zip Code) | | | 11/02/2005 | | 2468 | I | | | rte of ReglstcaUoo with PCAOB)(lt applicable) | | | (PCAOB Reglstcatloo N"mbec, It applicable) | | | | FOR OFFICIAL USE ONLY | | | | \* Claims for exemption from the requirement that the annual reports be covered by the 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)(l)(ii), if applicable. 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 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, JOHN SCHRAFF | swear (or affirm) that, to the best of my knowled…Read the full text as markdown