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Details

UBS AG NFA ID: 0338960

Current Status
• ALSO SEE NFA ID 0288769 
 
• NFA MEMBER APPROVED 
• SWAP DEALER PROVISIONALLY REGISTERED 
• EXEMPT FOREIGN FIRM APPROVED 
Exempt Foreign Firm Information
 CFTC RegulationRegulator
 30.10SFE CORPORATION LIMITED
 Firm has consented to participate in NFA's Arbitration program
Regulatory Actions
 AgencyNumber
NFA0
CFTC2
US Exchanges1
Foreign Regulators0
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NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent0
details...
 
CFTC Reparations Cases
Total0
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Formerly Known As
No other names
 
Business Address
BAHNHOFSTRASSE 45
ZURICH,   CH 8001
SWITZERLAND
41-44-234 11 11
Doing Business As
No other names
Listed Principals
 Listed Principal Name Title 10% or More
Financial Interest
GEORGE ATHANASOPOULOSHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
MARTIN KARL WOLFGANG BLESSINGHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
CHRISTIAN BLUHMHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
NIGEL BRETTONCHIEF FINANCIAL OFFICERNO
MARKUS U DIETHELMDIRECTORNO
SERGIO P ERMOTTICHIEF EXECUTIVE OFFICERNO
JAMES BERTRUM FUQUAHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
KIRTLAND GARDNERCHIEF FINANCIAL OFFICERNO
ROBERT BROOKS KAROFSKYHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
SABINE CHRISTINE KELLER BUSSEHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
ULRICH KOERNERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
AXEL PETER LEHMANNCHIEF OPERATING OFFICERNO
ZOE ROSALYN LESPERANCEHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
BEATRIZ MARTIN JIMENEZHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
SIOBHAN MCDONAGHHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
SAMUEL LEONARD JR MOLINARODIRECTORNO
EMMA MOLVIDSONMANAGING MEMBER-LLC OR LLP NO
THOMAS C NARATILMANAGING MEMBER-LLC OR LLP NO
JAMES P OATESCHIEF COMPLIANCE OFFICERNO
ANDREA ORCELDIRECTORNO
JUAN LUIS PEREZHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
MARK WILSON SANBORNDIRECTORNO
KATHRYN SHIHHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
UBS GROUP AG YES
WILLIAM DAVID VEREKERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
JUERG ZELTNERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
History
 Status Effective Date
• ALSO SEE NFA ID 0288769 
 
• NFA MEMBER APPROVED05/08/2013 
• SWAP DEALER PROVISIONALLY REGISTERED12/31/2012 
• NFA MEMBER PENDING12/13/2012 
• SWAP DEALER PENDING12/13/2012 
• EXEMPT FOREIGN FIRM APPROVED12/31/2003 
• EXEMPT FOREIGN FIRM PENDING12/15/2003 
 
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