Winterflood Securities
James Stapleton has over 20 years of experience in the financial services industry, currently serving as Director and Chief Risk Officer at Winterflood Securities since May 2007. Prior roles at Winterflood include Director, Associate Director - Head of Compliance, Head of Compliance, and Compliance Manager. Prior to Winterflood, James worked at Deloitte as a Manager in Regulatory Consulting from November 2002 to April 2007. James holds a Bachelor of Science (BSc) in Economics from the University of Birmingham, obtained between 1999 and 2002.
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Winterflood Securities
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Winterflood Securities is a leading market maker committed to providing liquidity and flexible execution services to retail brokers, asset managers and institutional investors. Winterflood’s strengths are a combination of traditional trading values and the performance of our own cutting edge technology. Our experienced team of traders helps clients achieve high quality execution in over 15,000 tradable instruments including UK, European and North American Equities together with Investment Trusts, Exchange Traded Products, Fixed Income, Structured Products and Funds. Founded in 1988, Winterflood has gone from being a niche market maker in the UK Small Cap market, to a mature, diverse and major liquidity provider across multiple asset classes in the UK and European markets. Winterflood is authorised and regulated by the Financial Conduct Authority. Winterflood Securities is a wholly-owned subsidiary of Close Brothers Group plc, a specialist financial services group which makes loans, takes deposits, trades securities and provides advice and investment management solutions to a wide range of clients. Close Brothers Group plc is listed on the London Stock Exchange and is a member of the FTSE 250.