Full text of UBS FUND SERVICES (USA) LLC'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 Fund Services (USA) LLC Year Ended December 31, 2024 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ UNITED **STATES SECURITIES AND EXCHANGE COMMISSION Washington,** D.C. **20S49** > **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 008-49596 **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 **0 1/01 /24** MM/DD/YY AND ENDING **12/31/24** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM : UBS Fund Services (USA) LLC TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer □ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 10 State House Square {No. and Street) Hartford CT (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 06103 (Zip Code} Kathleen Horan 201-3528620 kathleen.horan@ubs.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT 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 l" ofR,gl,uaUOo with PCAO BIi if appHcableJ **FOR OFFICIAL USE ON Ly** (PCAOB RegJmatloo N,mbe,, If appHcabl,) I \* 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-S(e)(l)(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 0MB control number. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | ______________ ~<br>I, _K_a_th_le_en_H_o_ra_n | swear (or affirm) that, to the best of my knowledge and belief, the | | |------------------------------------------------------------------------|-----------------------------------------------------------------…Read the full text as markdown