Full text of UBS FINANCIAL SERVICES INC.'s X-17A-5 filed 2024-02-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  CON S OLIDA TE D S T A TE M EN T O F FINA NC IA L CONDITION UBS Financial Services Inc. (a Subsidiary of UBS Americas Inc.) December 31 , 2023 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND·EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-16267 # **ANNUAL REPORTS FORM X-17A-S PART Ill** **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 01/01/2023 | AND ENDING 12/31/2023 | | | | | |----------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|-----------------------------------------|--------------------------------------------|--|--| | | MM/DD/YY<br>MM/DD/VY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: UBS Financial Services Inc. ( "the Company") | | | | | | | TYPE OF REGISTRAINT (check all applicable boxes):<br>C!l Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 1200 Harbor Boulevard | | | | | | | | (No. and Street) | | | | | | Weehawken | NJ | | 07086 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | 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*<br>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 | | | | | (Date of Registration with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, if applicable) | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent'public accountant must be supported by…Read the full text as markdown