# UBS FINANCIAL SERVICES INC. X-17A-5 (2022-02-28) — Broker-dealer annual report

- Company: UBS FINANCIAL SERVICES INC.
- Form: X-17A-5
- Filed: 2022-02-28
- Period: 2021-12-31
- Accession: 0000200565-22-000003
- CIK: 200565
- File #: 8-16257
- Type: Broker-dealer
- Material weakness: No
- Auditor: Ernst & Young LLP
- Auditor location: New York, NY
- Contact: Earl Lafontant
- Phone: 201-352-8336
- Signed by: Ralph Mattone (Chief Financial Officer)

Original filing: https://www.sec.gov/Archives/edgar/data/200565/000020056522000003/opinstmtofc1.pdf

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## UBS Financial Services Inc.

## Consolidated Statement of Financial Condition December 31, 2021

(Amounts in Thousands of Dollars)

| A Comments of the Comments of Children                                          |       |            |
|---------------------------------------------------------------------------------|-------|------------|
| Cash and cash equivalents                                                       | ಕೆ    | 521,953    |
| Cash and securities segregated and on deposit for federal and other regulations |       | 4,559,952  |
| Collateralized agreements:                                                      |       |            |
| Securities purchased under agreements to resell                                 |       | 56,725     |
| Securities borrowed                                                             |       | 1,319,815  |
| Receivables:                                                                    |       |            |
| Customers (net of allowance for doubtful accounts of \$6)                       |       | 480,534    |
| Brokers, dealers and clearing organizations                                     |       | 2,505,301  |
| Dividends and interest                                                          |       | 6,188      |
| Fees and other                                                                  |       | 264,133    |
| Financial instruments owned, at fair value                                      |       | 869,513    |
| Financial assets designated at fair value                                       |       | 5,657,362  |
| Receivables from affiliated companies                                           |       | 820,586    |
| Office equipment and leasehold improvements (net of accumulated                 |       | 1,775,304  |
| depreciation and amortization of \$1,236,641)                                   |       |            |
| Goodwill and intangibles                                                        |       | 554,408    |
| Deferred tax asset, net                                                         |       | 1,837,497  |
| Other assets                                                                    |       | 400,098    |
| Total assets                                                                    | A     | 21,629,369 |
|                                                                                 |       |            |
| Liabilities and stockholder's equity                                            |       |            |
| Collateralized agreements:                                                      |       |            |
| Securities loaned                                                               |       | 163,451    |
| Payables:                                                                       |       |            |
| Customers                                                                       |       | 997,034    |
| Brokers, dealers and clearing organizations                                     |       | 168,977    |
| Dividends and interest                                                          |       | 2,695      |
| Financial instruments sold, not yet purchased, at fair value                    |       | 108,846    |
| Financial liabilities designated at fair value                                  |       | 6,972,230  |
| Accrued compensation and benefits                                               |       | 2,292,536  |
| Payables to affiliated companies                                                |       | 3,380,807  |
| Income taxes payable                                                            |       | 92,865     |
| Other liabilities and accrued expenses                                          |       | 1,553,776  |
|                                                                                 |       | 15,733,217 |
| Subordmated habilities                                                          |       | 475,000    |
| Stockholder's equity                                                            |       | 5,421,152  |
| Total liabilities and stockholder's equity                                      | ਦੇ ਹੋ | 21,629,369 |
|                                                                                 |       |            |

See notes to consolidated financial statements.

(Confidential Pursuant to SEC Rule 17a-5(e)(3) and CFTC Regulation 1.10(g))


Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.