Full text of UNIONBANC INVESTMENT SERVICES, LLC's X-17A-5/A filed 2022-03-03 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # UnionBanc Investment Services, LLC (SEC ID. NO. 8-30706) Financial Statements and Supplemental Schedules as of and for the Year Ended December 31, 2021 and Report of Independent Registered Public Accounting Firm #### **PUBLIC DOCUMENT** **Filed pursuant to Rule 17a-5(e)(3)** {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 OMB APPROVAL ## **ANNUAL REPORTS FORM X-17A-5 PART III** | SEC FILE NUMBER | | |-----------------|--| | 8-30706 | | **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 | | 01/01/21<br>MM/DD/YY | AND ENDING | | 12/31/21<br>MM/DD/YY | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------|------------------------------------------------------------|----------------------------------------|-----------------|--------------------------------------------|--| | A.<br>REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM: UnionBanc Investment Services, LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>܆x Broker-dealer<br>܆ Check here if respondent is also an OTC derivatives dealer | ܆Security-based swap dealer | | ܆Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 800 N. Brand Blvd, 16th Floor | | | | | | | | | | (No. and Street) | | | | | | Glendale,<br>(City) | | CA<br>(State) | | | 91203<br>(Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Julian Jacolev, Managing Director, CFO 206-664-0061<br>(Name) | | (Area Code – Telephone Number) | | (Email Address) | julian.jacolev@unionbank.com | | | | B. | ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | Deloitte & Touche LLP | | (Name – if individual, state last, first, and middle name) | | | | | | | | | | | | | | 30 Rockefeller Plaza<br>(Address) | | New York<br>(City) | | NY<br>(State) | 10112<br>(Zip Code) | | | 10/20/2003 | | | | 34 |…Read the full text as markdown