Winterflood Securities US Corporation has submitted an X-17A-5 report to the SEC, confirming its status as a broker-dealer with no material weaknesses. This filing, dated October 29, 2026, is significant as it reflects the company's commitment to regulatory compliance and operational stability.

The report indicates that the company has been operating without any identified material weaknesses, which is essential for maintaining trust among its clients and partners. The filing also serves as an assurance to investors that Winterflood Securities is adhering to the necessary regulatory standards set forth by the SEC.

Background

Winterflood Securities US Corporation is categorized as a broker-dealer and is incorporated in Delaware. The company primarily operates in the financial services sector, providing brokerage services to its clients. The recent filing is part of its ongoing compliance efforts, with previous submissions dating back to 2025.

What the Filing Says

"The filing confirms that there are no material weaknesses in the company's operations."

Impact

This filing may affect various stakeholders, including investors, clients, and regulatory bodies. By confirming its compliance, Winterflood Securities aims to bolster investor confidence and maintain its reputation in the competitive financial services industry.

What's Next

The filing does not say what happens next.

Company Details

Winterflood Securities US Corporation is registered under the SEC file number 008-70259. The company operates with a fiscal year ending on July 31 and has a Central Index Key (CIK) of 0001760628. Its Employer Identification Number (EIN) is 831338773.

Contact Information

The principal business address for Winterflood Securities is located at 140 East 45th Street, Floor 10, New York, NY 10017. For inquiries, the company can be reached at the business phone number 917-410-7276. The contact person listed in the filing is Janice Parise, who can be reached at 212-751-4422.

Accounting Firm

The company’s financial statements are audited by Citrin Cooperman & Company, LLP, a certified public accounting firm located at 50 Rockefeller Plaza, New York, NY 10020. This partnership with a reputable accounting firm further underscores Winterflood Securities' commitment to transparency and accountability in its financial reporting.

Filing Period

The report covers the period from August 1, 2025, to July 31, 2026. This timeframe is critical as it provides a snapshot of the company’s operational integrity and financial health over the past year.

Oath and Signature

The filing is signed by William Johnson, the CEO of Winterflood Securities US Corporation, affirming the accuracy of the information provided in the report as of July 31, 2026. This signature is a formal declaration of the company’s compliance with SEC regulations.

What the Filing Does Not Include

The filing does not provide specific details regarding the company’s financial performance, revenue figures, or any future plans or projections. Additionally, there is no mention of any changes in management or significant operational shifts that may impact the company moving forward.