Full text of UBS FUND SERVICES (USA) LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### FINANCIAL STATEMENTS AND SUPPLEMENTARY INFORMATION UBS Fund Services (USA) LLC Year Ended December 31, 2023 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: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 008-49596 MM/DD/VY **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 /23** AND ENDING **12/31 /23** MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: UBS Fund Services (USA) LLC TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer D Security-based swap dealer 0 Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer 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 | | | | | Kathleen Horan | 201-3528620 | kathleen.horan@ubs.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | EY, Ernst & Young LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | One Manhattan West | New York | NY | 10001 | | | |-----------------------------------------|-----------------------|----------------------------------------------|------------|--|--| | (Address) | (City) | (State) | (Zip Code) | | | | l"<br>10/20/2003 | | 42 | | | | | of o,g;m,uon w;th PCAOB )(ff appHcable) | | I<br>(PCAOB Reg;m,uon N,mbe,, ff applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Persons who are…Read the full text as markdown