Full text of UBS SECURITIES LLC's X-17A-5 filed 2026-03-25 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  Statement of Financial Condition UBS Securities LLC as of December 31, 2025 with Report of Independent Registered Public Accounting Firm  {1}------------------------------------------------ | SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL<br>OM8 Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>pours per response: 12 | | | | | | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|------------|--------------------------------------------|--|--|--|--|--|--| | | SEC FILE NUMBER | | | | | | | | | | | FORM X-17A-5 | | 8-22651 | | | | | | | | | PARTII | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2025 | | AND ENDING | 12/31/2025 | | | | | | | | | MM/DD/YY | | MM/DD/YY | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | NAME OF FIRM: UBS Securities LLC | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>_ Security-based swap dealer<br>[ Major security-based swap participant<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.)<br>11 Madison Avenue | | | | | | | | | | | | (No. and Street) | | | | | | | | | | New York | NY | | 10010 | | | | | | | | (City)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | (State) | | (Zip Code) | | | | | | | | Mr. Ralph Mattone | (212) 713-9711 | | Ralph.Mattone@ubs.com | | | | | | | | (Name) | (Area Code - Telephone Number)<br>(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 | | 10001<br>NY | | | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | | 10/20/2003 | | 42 | | | | | |…Read the full text as markdown