Full text of UOB GLOBAL EQUITY SALES 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}------------------------------------------------ #### **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 8-65886 **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 | ____<br>O_ll_O_ll_<br>2_0_ | 21 __ AND ENDING _______ | 12/31/2021<br>_ | | |------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------|-----------------------------------------|------------------------------------------|--| | | M M/DD/VY | | MM/00/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: _::U::.;:O::.;:B::=Glo:.::: b.::. al::E:::9i::U~itJ.y.::.S.::.;al=e=-s .=.:LL:::C:_ | ___ | __<br>_<br>_<br>_ | ________<br>_ | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | [] Broker-dealer<br>O Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | 0 Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 592 Fifth Avenue<br>, Suite 602 | | | | | | | (No. and Street) | | | | | New York | New York | | 10036 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>(Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Citrin Cooperman & Company LLP | (Name - if individual, state last, first, and middle nam e) | | | | | 709 Westchester Avenue | White Plains | New York | 10604 | | | (Address) | (City) | (State) | (Zip Code) | | | Re8'ma, ~a w;,h PCAOB)(lf appl;wble) | | | | | | T" of | FOR OFFICIAL USE ONLY | | I PCAOB Reglm,uoa N•mbe,, tt appUwble( I | | accountant must be supported by a statement of facts and circumstances relied on as t he basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Persons who are t o respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | f | I d<br>d b I" f…Read the full text as markdown