Full text of UBS FUND SERVICES (USA) LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### FINA NCIAL STATEMENTS AND SUPPLEMENTARY I NF ORMATIO N UBS Fund Services (USA) LLC Year Ended December 3 1, 2020 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ U **ITEDST AT ES SECURITIES A D EXCHANGE COMMISSION** Washington, **D.C.** 20549 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PARTIII** | Estimated average burden | |---------------------------| | hours per response 12.00 | | | | | | SEC FILE NUMBER | | | 8-49596 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 **FAC I NG PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder** | REPORT FOR THE PERIOD BEGINNING 01 | /01<br>/20<br>AND ENDING 12/31 | | -----------<br>/20 | | |------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------|------------|------------------------------------------------|--| | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: UBS Fund Services (USA) LLC<br>ADDRESS OF PRJNCJPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRM I.D. NO. | | | | | | | | | 10 State House Square | | | | | | | (No. and Street) | | | | | Hartford | CT | 06103 | | | | (City) | (Stale) | (Zip Code} | | | | Kathleen Horan<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>EY, Ernst & Young LLP | B. ACCOUNTANT IDENTIFICATION<br>(Name - if individual. stare lasr. first. middle name) | | 201-352-5620<br>(Area Code - Telephone Number) | | | 155 North Wacker Drive | Chicago | IL | 60606-1787 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK O E:<br>I<br>✓<br>Certified Public Accountant<br>B<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. I 7a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained** In **this form are not required to respond unless the form…Read the full text as markdown