UBS SECURITIES LLC X-17A-5 (2017-03-03) — Broker-dealer annual report

Full text of UBS SECURITIES LLC'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 SECURITIES LLC
• Form: X-17A-5
• Filed: 2017-03-03
• Period: 2016-12-31
• Accession: 0000230611-17-000006
• CIK: 230611
• File #: 8-22651
• Material weakness: No
• Auditor: Ernst & Young LLP
• Auditor location: New York, NY
• Contact: Rodney Malone
• Phone: 6153326585
• Signed by: Ralph Mattone (CFO)

Document text (excerpt)

X-17A-5 0000230611 XXXXXXXX LIVE true false false 01-01-2016 12-31-2016 Broker-dealer OTC derivatives dealer N UBS SECURITIES LLC 1285 AVENUE OF THE AMERICAS NEW YORK NY 10019 Rodney Malone 6153326585 Ernst & Young LLP 5 Times Square New York NY 10036 Certified Public Accountant Ralph Mattone UBS SECURITIES LLC 03-03-2017 Ralph Mattone CFO Y

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• X-17A-5 — 2014-03-06
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Original filing on SEC EDGAR (source of record)