Full text of UBS SECURITIES LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  # Statement of Financial Condition UBS Securities LLC December 31, 2021 with Report of Independent Registered Public Accounting Firm  {1}------------------------------------------------ | ours per response: 12 | | |------------------------|--| | | | | | 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_______________________________________________________________________________________________________________________________________________ | | | 12/31/21 | | | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: ________________________________________________________________________________________________________________________________________________________________ | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | LJ Security-based swap dealer | | | | | | 1285 Avenue of the Americas | | | | | | | | (No. and Street) | | | | | | New York | NY | | | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Mr. Ralph Mattone | (212) 713-9711 | | Ralph.Mattone@ubs.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | NDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst & Young LLC | | | | | | | | (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) | | | (PCAOB Registration Number, if applicable) | | | | Claime for | FOR OFFICIAL USE ONLY | | | | | {2}------------------------------------------------ | | _ Sweat (of anim) that, to the best of my knowledge and bell…Read the full text as markdown