Full text of UOB GLOBAL EQUITY SALES LLC's X-17A-5 filed 2026-02-24 (period 2025-12-31). 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: Nov. 30, 2026 | | Estimated average burden | | hours per response:<br>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 | MM/DD/VY | 01/01/2025 AND ENDING | | 12/31/2025<br>MM/DD/VY | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|-----------------------------------------------------------|---------|--------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: UOB Global Equity Sales LLC | | | | | | IYP£ OF REGIS.TRANT (cbe5<br>ck all.applicable boxesl: I<br>□ ecunty-basea swap dea er<br>~ Broker-dealer<br>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.) | | | | | | 592 Fifth Avenue | | | | | | | (No. and Street) | | | | | New York | NY | | 10036 | | | (Cityl | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Howard Berkenfeld | 212-398-6633 | | | hberkenfeld@uobglobal.com | | (Name) | (Area Code-Telephone Number) | | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Cohn Reznick LLP | | | | | | | | (Name -if individual, state last, first, and middle name) | | | | 1301 Avenue of Americas | New York | | NY | 10019 | | (Address) | (City) | | (State) | (Zip Code) | | (Date of Registration with PCAOB)(if applicable! | | | | [PCAOB Registration Number, if aoolicable] | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>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 w…Read the full text as markdown