Full text of UBS ASSET MANAGEMENT (US) INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### FIN A CI <sup>A</sup> L S TA TEM EN TS A ND S U PPLEMENTARY I N FORMATIO N UBS Asset Management (US) Inc. (A Subsidiary of UBS Americas Inc.) Year Ended December 3 1, 2020 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ U **ITEDSTATES SECURITIES A D EXCHANGE COMMISSION** Washington, **D.C.** 20549 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PARTIII** | Expires: | October 31, 2023 | |----------|---------------------------| | | Estimated average burden | | | hours per response 12.00 | | | | | | SEC FILE NUMBER | **B-21901** 0MB APPROVAL 0MB Number: 3235-0123 **FAC I NG PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder** | REPORT FOR THE PERIOD BEGINNING 01 | /01<br>/20 | AND ENDING 12/31/20 | ----------- | |------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------|---------------------|--------------------------------| | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: UBS Asset Management (US) Inc.<br>ADDRESS OF PRJNCJPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | FIRM I.D. NO. | | 1285 Avenue of the Americas | | | | | | (No. and Street) | | | | New York | NY | | 10019 | | (City) | (Stale) | | (Zip Code} | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>EY, Ernst & Young LLP | B. ACCOUNTANT IDENTIFICATION<br>(Name - if individual. stare lasr. first. middle name) | | (Area Code - Telephone Number) | | 155 North Wacker Drive | Chicago | IL | 60606-1787 | | (Address) | (City) | (State) | (Zip Code) | | CHECK O E:<br>I<br>✓<br>Certified Public Accountant<br>B<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. I 7a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained** In **this form are not required to respond unless th…Read the full text as markdown