Full text of UBS SECURITIES LLC's X-17A-5 filed 2024-04-02 (period 2023-12-31). 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, 2023 with Report of Independent Registered Public Accounting Firm  {1}------------------------------------------------ | UNITED STATES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | | SEC FILE NUMBER | | |-----------------|--| | 8-22651 | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2023 | | ______________________________________________________________________________________________________________________________________________________________________________ | | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|-----------------------|--|--| | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM: UBS Securities LLC ("the Company") | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>@ Broker-dealer - O Security-based swap dealer - O Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | | 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 | | | 10019 | | | | (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 | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing *<br>Ernst & Young | | | | | | | | | (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 | | | | | {2}------------------------------------------------ | Ralph Mattone | swear (or affirm) that, to the best of my knowledge and bel…Read the full text as markdown