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Who we are

Winterflood Securities US Corporation offers execution services into UK and Europe.

We offer unrivalled services delivered by industry experts

Winterflood Securities US Corporation offers execution services to US Major Institutional Investors in:

  • UK and European Equity Securities
  • UK and European Corporate Debt 
  • UK and European Government Debt 

Winterflood Securities US Corporation will provide these services through a chaperoning arrangement pursuant to Rule 15a-6 of the US Securities Exchange Act of 1934, with its affiliate company, Winterflood Securities Limited.

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If you are interested in becoming a client of Winterflood Securities US Corporation please contact us via:

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Key People

””

John Schraff*

President, Chief Executive Officer & Treasurer

John has worked within the Financial Services sector for over 35 years, holding various positions at several NYSE Member Firms. In 1998, John moved to the UK with Paribas and followed management positions with WestLB, HSBC, RBS, DNB ASA. John joined Winterflood Securities Limited in 2017 and is CEO of Winterflood Securities US Corp.

””

Simon Rafferty

Director

Simon qualified as a Chartered Accountant in 1997. In 1998, he joined Deloitte LLP to work in the Financial Services practice. Simon joined Winterflood Securities Limited in 2000 and was promoted to Director in 2012. Simon is also a Director of Winterflood Securities US Corp.

””

James Stapleton

Director

James started his career at Deloitte LLP and  joined Winterflood Securities Limited in 2007. James was promoted to Head of Compliance in 2013 and was later appointed Company Secretary. James was appointed to the Board of Winterflood Securities Limited in 2020. James is also a Director of Winterflood Securities US Corp.

””

Sean Farrell*

Client Relationship Manager

Sean has worked in US and International Cash Equities for over 32 years, thirteen of those years were in London for DLJ, Merrill Lynch and Citigroup.  While overseas he helped both build and manage various equity platforms. Sean will be located our New York office and will hold the title of Client Relationship Manager.

””

Robert Patchett

Director

Robert originally joined Panmure Gordon, where he spent 18 years working as a market-maker and sales trader. He moved to Numis Securities in 2003 to head-up the sales trading team and joined Winterflood Securities Limited in 2016 as the Head of Sales Trading. Robert is also a Director of Winterflood Securities US Corp.

””

Oliver Dacosta

Operations

Oliver obtained his Masters in Chemistry at the University of Nottingham and initially joined GFI Group in 2011. In 2013, Oliver joined compliance at Winterflood Securities Limited. Oliver was promoted to Operational Change Manager in 2018. Oliver provides operational support to Winterflood Securities US Corp.

* These people are registered with FINRA and any communication by US investors should be with FINRA registered persons.

Our company history

December 2015 - January 2016

Winterflood Securities Limited confirms intent to relaunch US entity

September 2016 – December 2017

Key hires made in the company

August 2019

Winterflood Securities US Corp receives FINRA and SEC approval

November 1 2019

Winterflood Securities US Corp commenced business with North American Clients