Skip Navigation Links

Details

UBS AMERICAS INC NFA ID: 0306464

Current Status
UBS FINANCIAL SERVICES INC 
• PRINCIPAL APPROVED 
Regulatory Actions
 AgencyNumber
NFA0
CFTC0
Exchanges0
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent0
details...
 
CFTC Reparations Cases
Total0
details...
Formerly Known As
No other names
 
History
 Status Effective Date
KIDDER PEABODY & CO INCORPORATED USA 
• PRINCIPAL WITHDRAWN 08/20/2015 
• PRINCIPAL APPROVED 02/15/2002 
• PRINCIPAL PENDING 02/11/2002 
MITCHELL HUTCHINS INSTIT INVESTORS INC 
• PRINCIPAL WITHDRAWN 06/01/2001 
• PRINCIPAL APPROVED 01/23/2001 
• PRINCIPAL PENDING 12/08/2000 
PAINE WEBBER FUTURES MANAGEMENT CORP 
• PRINCIPAL WITHDRAWN 07/28/2004 
• PRINCIPAL APPROVED 01/23/2001 
• PRINCIPAL PENDING 12/08/2000 
UBS CLEARING SERVICES CORPORATION 
• PRINCIPAL WITHDRAWN 01/22/2007 
• PRINCIPAL APPROVED 10/26/2006 
UBS FINANCIAL SERVICES INC 
• PRINCIPAL APPROVED 01/23/2001 
• PRINCIPAL PENDING 12/08/2000 
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO 
• PRINCIPAL WITHDRAWN 01/21/2009 
• PRINCIPAL APPROVED 01/23/2001 
• PRINCIPAL PENDING 12/08/2000 
UBS FUND ADVISOR LLC 
• PRINCIPAL WITHDRAWN 04/22/2011 
• PRINCIPAL APPROVED 07/03/2007 
UBS GLOBAL ASSET MANAGEMENT US INC 
• PRINCIPAL WITHDRAWN 04/28/2007 
• PRINCIPAL APPROVED 01/23/2001 
• PRINCIPAL PENDING 12/08/2000 
UBS INTERNATIONAL INC 
• PRINCIPAL WITHDRAWN 02/25/2010 
• PRINCIPAL APPROVED 05/16/2002 
• PRINCIPAL PENDING 04/24/2002 
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.