Statement of Financial Condition
New York
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FACING PAGE
Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934
FILING FOR THE PERIOD BEGINNING.
Mr. Ralph Mattone
(Name)
ANNUAL REPORTS
FORM X-17A-5
PART III
NAME OF FIRM: UBS Securities LLC ("the Company")
TYPE OF REGISTRANT (check all applicable boxes):
Broker-dealer
Security-based swap dealer
Check here if respondent is also an OTC derivatives dealer
ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)
1285 Avenue of the Americas
One Manhattan West
(Address)
01/01/21
MM/DD/YY
A. REGISTRANT IDENTIFICATION
(City)
PERSON TO CONTACT WITH REGARD TO THIS FILING
(No. and Street)
AND ENDING
10/20/2003
(Date of Registration with PCAOB)(if applicable)
NY
(State)
(212) 713-9711
(Area Code - Telephone Number)
B. ACCOUNTANT IDENTIFICATION
INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*
Ernst & Young LLC
Major security-based swap participant
(Name - if individual, state last, first, and middle name)
New York
(City)
OMB APPROVAL
OMB Number: 3235-0123
Expires: Oct. 31, 2023
Estimated average burden
hours per response: 12
FOR OFFICIAL USE ONLY
SEC FILE NUMBER
NY
(State)
12/31/21
MM/DD/YY
[email protected]
(Email Address)
10019
(Zip Code)
10001
(Zip Code)
42
(PCAOB Registration Number, if applicable)
* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public
accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17
CFR 240.17a-5(e)(1)(ii), if applicable.
Persons who are to respond to the collection of information contained in this form are not required to respond unless the form
displays a currently valid OMB control number.View entire presentation