Full text of UBS ASSET MANAGEMENT (US) INC.'s X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ fl~ANCIAL STATEMENTS AND SUl'l'L l:'. Ml::NTARY 1:-JFORMATIOt,; UBS Asset Management (US) Inc. (A Subsidiary of UBS Americas Inc.) Year Ended December 31, 2019 With Report of Independent Registered Public Accounting Finn {1}------------------------------------------------ UNITEDSTATES SECURITIF.SANDF.XCHANGECOMI'tUSSION **Washington,** D.C. 10549 0MB APPROVAL **0MB Number:** 3235-0123 Expires: August 31, 2020 Estimated **average** burden hours ...... 12.00 # **ANNUAL** AUDITED **REPORT FORM X-17A-5 PART** Ill SEC FILE NUMBER ~21901 **FACING PAGE Information** Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | AND ENDING 12/31/19 | | | | | |------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|---------------------|--------------------------------|--|--|--| | | REPORT FOR THE PERIOD BEGINNING 01/01/19<br>MM/DD/YY | | -----------<br>MM/DD/YY | | | | | | A. REGISTRANT IDENTlF1CATION | | | | | | | NAME OF BROKER·DEALER: UBS Asset Management (US) Inc. | | | OFACIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | | 1285 Avenue of the Americas | | | | | | | | | (No. and Street) | | | | | | | New York | NY | 10019 | | | | | | (City} | (Smu) | (Zip Code) | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT | | | 201-352~0 | | | | | | | | (Arca Code - Telephone Number) | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report•<br>EY, Ernst & Young LLP | (Name - if iltdivid11al. stale /rut. first. middle iwme) | | | | | | | 155 North Wacker Drive | Chicago | IL | 60606-1787 | | | | | (Address) | (City) | | (Zip Code) | | | | | CHECK ONE:<br>I<br>✓<br>certified Public Accountant<br>Pu lic Accountant<br>ccountant not resident in United States or any of its possessions. | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | *must be supported by a statemenl of /acts and circumstances relied on as the basis for the exemption. See Section 240.17 ~j(e}(2)* Potential persons who are to respond to the collection of infbrmation contained in this form are not required to respond unlessthefonndiep…Read the full text as markdown