UBS FINANCIAL SERVICES INC. X-17A-5 (2016-04-07) — Broker-dealer annual report

Full text of UBS FINANCIAL SERVICES INC.'s X-17A-5 filed 2016-04-07 (period 2015-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.

• Company: UBS FINANCIAL SERVICES INC.
• Form: X-17A-5
• Filed: 2016-04-07
• Period: 2015-12-31
• Accession: 0000200565-16-000031
• CIK: 200565
• File #: 8-16257
• Material weakness: No
• Auditor: Ernst & Young LLP
• Auditor location: New York, NY
• Contact: Amy Fainsbert
• Phone: 201-352-4373
• Signed by: Amy Fainsbert (Chief Financial Officer)

Document text (excerpt)

X-17A-5 0000200565 XXXXXXXX LIVE true false false 01-01-2015 12-31-2015 Broker-dealer N UBS FINANCIAL SERVICES INC. 1200 HARBOR BOULEVARD WEEHAWKEN NJ 07086 Amy Fainsbert 201-352-4373 Ernst & Young LLP 5 Times Square New York NY 10036 Certified Public Accountant Amy Fainsbert UBS FINANCIAL SERVICES INC. 03-10-2016 Amy Fainsbert Chief Financial Officer Y

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• X-17A-5 — 2021-03-01
• X-17A-5 — 2020-03-03
• X-17A-5 — 2019-03-01
• X-17A-5 — 2018-03-02
• X-17A-5 — 2017-03-03
• X-17A-5 — 2015-03-02
• X-17A-5 — 2014-03-04

Original filing on SEC EDGAR (source of record)