Full text of UOB GLOBAL EQUITY SALES LLC's X-17A-5 filed 2021-02-25 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSl'ATES SECURITIESANDEXCB.ANGECOMMIS&ON Washington, D.C. 105-49 # ANNUAL AUDITED REPORT FORM X .. 17A-5 PART Ill | | OMB APPROVAL | | |-------------|--------------|--------------------------| | OMB Number: | | 323S-0123 | | Expires: | | October 31, 2023 | | | | Estimated average burden | | hours oar r | | .••• 12.00 | # SEC FILE NUMBER B-65886 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereuoder | REPORT FOR THE PERIOD BEGINNING 01 /01 /2020<br>AND ENDING 12/31 /2020 | | | | |---------------------------------------------------------------------------|---------------------------------------------------------------------|---------|---------------------------------| | | MM/DONY | | ------------------~<br>MM/DDfYY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: UOB GLOBAL EQUITY SALES LLC | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | 592 FIFTH AVENUE, SUITE 602 | | | | | | (No. and Street) | | | | NEW YORK | NY | | 10036 | | {Ciry) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | (Arca Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report• | | | | | CITRIN COOPERMAN &COMPANY,LLP | | | | | | (Name-if indllliduof, stole leut, first, middl~ name) | | | | 709 WESTCHESTER AVE | WHITE PLAINS | NY | 10604 | | (Address) | (City) | (State) | (Zip Code) | | CRECKONE: | | | | | lll'leertified Public Accountant | | | | | Public AccouotlW.l | | | | | B | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | •cf *aims for exemption from the requirement that the annual report be covered by the opinion of an independent pub/le accQUntant* mu.st be *supported by* a *statement of/acts and circumstances* reffed *on as the basts/or the exemption. See Section 240.17a-5(e)(2)* SEC 1410 (11 ·05) Potential persons who are to respond to the collectlon of Information contaln9d In th ls form are not required to respond unless the form displays a currentJy valid OMB cnntrol number. {1}------------------------------------------------ # **OA m OR AFFIRMATION** 1, Howard Bel'kenfeld , swear (or affirm) that, to the best of…Read the full text as markdown