Full text of UBS FUND SERVICES (USA) LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### FINANCIAL STATEMENTS AND S U PPLEMENTARY l N fORMA T IO N UBS Fund Services (USA) LLC Year Ended December 31, 2019 With Report of Independent Registered Public AccoU1nting Firm {1}------------------------------------------------ **UNll'EDSTATFS SECURITIESANDEXCHANGECO~ON Washington,D.C. 20549** 0MB APPROVAL 0MB Number: 323S-0123 Expires: August 31, 2020 Estimated average burden hours nse •....• 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | | | &-49596 | **FACING PAGE** Infonnation Required of Brokers and Dealen Pursuant to Section 17 of the **Securities Exchange Act of 1934 and Rule 17a-S Thereunder** | | REPORT FOR THE PERIOD BEGINNING 01 /01/19 | AND ENDING 12/31/19 | ----------- | | |---------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: UBS Fund Services (USA) LLC | | | OFACIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | ARM I.D. NO. | | | 1 O State House Square | | | | | | | (No. ancl Street) | | | | | Hartford | CT | 06103 | | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO TIIlS REPORT | | | 201-352~20 | | | | | | (Area Code - Telephone Number) | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>EY, Ernst & Young LLP | (Name - ifindiYidwzl. slate ftul. first. Rliddfe name) | | | | | 155 North Wacker Drive | Chicago | IL | 60606-1787 | | | (Address) | (City) | (State) | (Zip Code) | | *must be supported by a statement of facu and cirCMmstances relied on as the basis/or the exemption. See Section Z40.17a-J(e)(2)* **Potential persons who are ta respond to the collection of information contained in this form are not required to respond unlasstheformdlsplaysacunentlyvalidOMBconlrolnumber.** SEC 1410 (11-05} {2}------------------------------------------------ #### **OATH OR AJ'FIRMA TION** | I, Kathleen Horan | | , swear (or affirm) that, to the best of | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|--------------------…Read the full text as markdown