Full text of UBS FUND SERVICES (USA) LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FINA CIAL STATEMENTS AND SUPPLEMENTARY I FORMATION UBS Fund Services (USA) LLC Year Ended December 31, 2021 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 008-49596 **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | ---------<br>01/01/21 | AND ENDING | | ----------<br>12/31/21 | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------|------------------------------------------| | | MM/DD/ Y Y | | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: UBS Fund Services (USA) LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>k1 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 10 State House Square | | | | | | | {No. and Street) | | | | | Hartford | CT | | | 06103 | | {City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Earl Lafontant | 201-3528336 | | | earl.lafontant@ubs.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>EY, Ernst & Young LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 155 North Wacker Drive | Chicago | | IL | 60606-1787 | | (Address) | (City) | | (State) | (Zip Code) | | 10/20/2003 | | 42 | | | | l"<br>of Regim,uoo with PCAOBJ(ff appHc,ble) | | | | (PCAOB RegistcaUoo N,mbe,, • appHc,ble)I | | | FOR OFFICIAL USE ONLY | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent…Read the full text as markdown