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.
Contact Us
If you are interested in becoming a client of Winterflood Securities US Corporation please contact us via:
Affiliated entities
Winterflood Securities US Corporation accesses UK liquidity through its affiliate Winterflood Securities Limited
Winterflood Securities Limited is a leading liquidity provider, committed to making two-way prices even in extreme adverse market conditions. It is our belief that technology-led innovation is a solid path to the development of our company. At Winterflood Securities Limited we pride ourselves on being client-centric and aim to provide our customers with a flexible, high-quality service through the entire execution cycle from pre-trade right through to settlement.
Winterflood Securities Limited believe you are only as good as your last trade, and want to forge long-term trusted relationships that support customer needs with innovation and consistently reliable service. The relationship between Winterflood Securities Limited and Winterflood Securities US Corporation is bound by a chaperoning agreement pursuant to Rule 15a-6 of the US Securities Exchange Act of 1934.
*For more information regarding the source of this information, please refer to the statements.
Winterflood Securities US Corporation is a wholly-owned subsidiary of Close Brothers Group plc
Close Brothers is a leading UK merchant banking group providing lending, deposit taking, wealth management services, and securities trading. The group employs over 3,700 people, principally in the UK. Close Brothers Group plc is listed on the London Stock Exchange and is a member of the FTSE 250.
Close Brothers Group plc is the ultimate parent of Winterflood Securities US Corporation.
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.
Phillip Coleman
Director
Phil joined Winterflood in 2019 from Goldman Sachs International, where he was an Executive Director in the Securities Compliance Division. Phil currently heads the Business and Trading Controls team and has over 14 years of experience in trading controls and compliance-based roles, with particular focus on equity and equity derivative instruments. Phil is a Director of Winterflood Securities US Corp.
William Johnson*
Director
Will joined Winterflood in 2020 having graduated from the University of Birmingham with a degree in Mechanical Engineering. He joined the Investment Trusts Sales team in 2022, having previously spent time on the FTSE and AIM desks. Will is 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.
Jack Nagel
Operations
Jack joined Winterflood Securities in January 2022 and is currently a Senior Settlements Associate. Jack joined Winterflood from Bordier & Cie UK, where he was an Operations Assistant. Jack provides operational support to Winterflood Securities US Corp.
Yonatan Haile
Operations
Yonatan joined Winterflood in December 2017 and is currently an Equity Sales Trader. Yonatan joined from Winterflood from RWE, where he was a Solid Fuels Trading Risk Analyst. Yonatan 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.
