Full text of UBS ASSET MANAGEMENT (US) INC.'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 Asset Management (US) Inc. 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 > SEC FILE NUMBER 008-21901 > > MM/DD/YY # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, Ha-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01 /01 /23** AND ENDING **12/3 1 / <sup>2</sup> <sup>3</sup>** MM/DD/YY **A. REGISTRANT lDENTIFICATION** NAME OF FIRM: UBS Asset Management (US) Inc. TYPE OF REGISTRANT (check all applicable boxes): C!l Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS; {Do not use a P.O. box no.) | | | | 1285 Avenue of the Americas | |--|--|--|-----------------------------| |--|--|--|-----------------------------| | (No. and Street) | | | | | |----------------------------------------------|---------------------------------------------------------------------------|-----------------|------------------------|--| | New York | NY | | 10019 | | | (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) | | |------------|-----------------------|---------------------------------------------|------------|--| | 10/20/2003 | | 42 | | | | | | I<br>(PCAOB RegOtcafon N"m bee, • applka~e} | | | | | 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 1…Read the full text as markdown