Full text of UOB GLOBAL EQUITY SALES LLC's X-17A-5 filed 2025-02-28 (period 2024-12-31). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30. 2026 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III | | 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 01/01/24 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: UOB Global Equity Sales LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer C Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 592 Fifth Avenue (No. and Street) New York 10036 NY (State) (Zip Code) (City) PERSON TO CONTACT WITH REGARD TO THIS FILING (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Cohn Reznick LLP (Name - if individual, state last, first, and middle name) New York 1301 Avenue of Americas NY 10019 (Address) (City) (State) (Zip Code) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY Claims for exemption from the requirement that the annual 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-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION Howard Berkenfeld e and belief, a many swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of UOB Global Equity Sales LLC as of 12/31 2 024 s true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. > ROBERT ILARIA NOTARY PUBLIC-STATE OF NEW YORK No. 01IL6134434 Qualified in Westchester County My Commission Expires 10-03-2025 Signature: Title: Notary Public #### This filing\*\* contains (check all applicable boxes): - (a) Statement of fin…Read the full text as markdown