UBS FINANCIAL SERVICES INC. X-17A-5 (2017-03-03) — Broker-dealer annual report

Full text of UBS FINANCIAL SERVICES INC.'s X-17A-5 filed 2017-03-03 (period 2016-12-31). 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: 2017-03-03
• Period: 2016-12-31
• Accession: 0000200565-17-000003
• CIK: 200565
• File #: 8-16257
• Material weakness: No
• Auditor: Ernst & Young LLP
• Auditor location: New York, NY
• Contact: Earl Lafontant
• Phone: (201)352-8336
• Signed by: Amy Fainsbert (Chief Financial Officer)

Document text (excerpt)

X-17A-5 0000200565 XXXXXXXX LIVE true false true 01-01-2016 12-31-2016 Broker-dealer N UBS FINANCIAL SERVICES INC. 1200 HARBOR BOULEVARD WEEHAWKEN NJ 07086 Earl Lafontant (201)352-8336 Ernst & Young LLP 5 Times Square New York NY 10036 Certified Public Accountant Amy Fainsbert UBS FINANCIAL SERVICES INC. 12-31-2016 Amy Fainsbert Chief Financial Officer Y

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• X-17A-5 — 2020-03-03
• X-17A-5 — 2019-03-01
• X-17A-5 — 2018-03-02
• X-17A-5 — 2016-04-07
• X-17A-5 — 2015-03-02
• X-17A-5 — 2014-03-04

Original filing on SEC EDGAR (source of record)