Full text of UBS FINANCIAL SERVICES INC.'s X-17A-5 filed 2023-03-01 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  CONSOLIDATED STATEMENT OF FINANCIAL CONDITION UBS Financial Services Inc. (a Subsidiary of UBS Americas Inc.) December 31, 2022 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D,C. 20549 ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** 0MB APPROVAl **OMe** Number: 3235-0123 EKpires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8·226S1 **Information Required Pursuant to Rules 17a-s, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNIN-G--~0=1/~0=l/~2~2 \_ \_\_,AND ENDING \_\_\_ 1\_2\_/3\_1\_/2\_2 \_\_ MM/DD/VY MM/DD/'N **A, REGISTRANT IDENTJFICATJON NAME** OF FIRM : \_ \_\_\_\_\_aU::..:B=-=S:;..;S=-=e::..;:c ... u;..:ri .... ti,.esa;...:aLL..,.C...,( ..... "t=h=-=e:....;C=a:.:..m=p=a:.:.n=--y\_").\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ **TYPE OF REGISTRANT (check all applicable boxes):** 0 Broker-dealer □ SeCtJrity-based **swap** dealer D 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** (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10019 (Zip Code) Mr. Ralph Mattone (212) 713-9711 Ralph.Mattone@ubs.com (Name) {Area Code-Telephone Number) (Email Address} **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained In this filing• Ernst & Young U.C (Name - If individual, state last,, first, and middle name) One Manhattan West New York NY (Address) (City) (State) 10/20/2003 42 10001 (Zip Code) Ir• of Reglstratio, wm, PCAO B)Of applkable) FOR OFFICIAL USE **ONLY** {PCAOB "'''''"""" Nomber, If a"""~., I "' Claims for e><emption from the requirement that the annua I 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** I, Ralph Mattone , swear (or…Read the full text as markdown