Full text of UBS ASSET MANAGEMENT (US) INC.'s X-17A-5 filed 2025-03-03 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### FINANCIAL STATEMENTS AND SUPPLEMENTAL INFORMATION UBS Asset Management (US) Inc. Year Ended December 31, 2024 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-5 PART** Ill OMS APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 008-21901 **FACING PAGE** **Information Required Pur:.uant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01 /24** MM/DD/ YY AND ENDING **12/31 /24** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: UBS Asset Management (US) Inc. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 1285 Avenue of the Americas | |--|--|--|--|-----------------------------| |--|--|--|--|-----------------------------| | | (No. and Street) | | |----------------------------------------------|----------------------------------------------------------------------------|------------------------| | New York | NY | 10019 | | (City] | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Kathleen Horan | 201-3528620 | kathleen.horan@ubs.com | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing* | | | EY, Ernst & Young LLP | | | | | (Name - if individual, state last, first, and middle name) | | | One Manhattan West | New York | NY | 10001 | |-----------------------------------------------|-----------------------|---------|----------------------------------------------| | (Address) | (City) | (State) | (Zip Code) | | 10/20/2003 | | 42 | | | rte of Reglmatioo with PCAO B)lff applicable) | | | (PCAOB Registratioo N,mbe<, if applicable) I | | | FOR OFFICIAL USE ONLY | | | | | | | | • 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.l ?a-S(e)(l}(ii), if…Read the full text as markdown