09/30/2025 | Press release | Distributed by Public on 09/30/2025 15:40
| Form X-17A-5 Filer Information |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT Form X-17A-5 Part III FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder |
OMB APPROVAL |
|
FORM X-17A-5 |
OMB Number: 3235-0123 Estimated average burden hours per response: 12.00 |
| Filer CIK |
0001760628
|
| Filer CCC |
XXXXXXXX
|
| Is this a LIVE or TEST Filing? | LIVE TEST |
| Would you like a Return Copy? | |
| Is this an electronic copy of an official filing submitted in paper format? | |
| Confirming Copy File Number | |
Submission Contact Information |
|
| Name | |
| Phone | |
| E-Mail Address | |
| Notify via Filing Website only? |
| Report for the Period Beginning |
08-01-2024
|
| and Ending |
07-31-2025
|
| Type of Registrant | Broker-dealer |
| OTC derivatives dealer |
Material Weakness |
|
| Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? | Yes No |
| Name of Broker-dealer |
WINTERFLOOD SECURITIES US CORPORATION
|
| Address 1 |
1460 BROADWAY, 9TH FLOOR
|
| Address 2 |
25 DOWGATE HILL
|
| City |
NEW YORK
|
| State/Country |
NEW YORK
|
| Mailing Zip/ Portal Code |
10036
|
| Name |
Janice Parise
|
| Telephone Number |
212-751-4422
|
| Name - if individual, state last, first, and middle name |
Citrin Cooperman & Company, LLP
|
| Address 1 |
1133 Westchester Ave, Suite N-328
|
| City |
White Plains
|
| State/Country |
NEW YORK
|
| Mailing Zip/ Postal Code |
10604
|
| Check One |
Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions |
| Signature |
William Johnson
|
| Title |
CEO
|
| Checking this box acknowledges that this oath or affirmation has been notarized. |