Details

UBS FINANCIAL SERVICES INC NFA ID: 0001366 Current Status • SWAP FIRM APPROVED  • EXEMPT FOREIGN FIRM AGENT APPROVED  • NFA MEMBER APPROVED  • FUTURES COMMISSION MERCHANT REGISTERED  FCM Financial Information Click the link below to view financial information for this firm View Financial Information Firm Activity Status Firm has on-exchange futures and/or options customer accounts Yes Firm is soliciting customers Yes Firm manages futures or options customer accounts Yes Firm operates commodity pools No Firm is engaged in retail off-exchange foreign currency futures and/or options No Regulatory Actions  Agency Number NFA 2 CFTC 3 Exchanges 16 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 5 details...   CFTC Reparations Cases Total 98 details... Formerly Known As • PAINE WEBBER INCORPORATED • UBS PAINEWEBBER INC   Business Address 1000-1200 HARBOR BOULEVARD WEEHAWKEN, NJ  07086 UNITED STATES (201) 352-3000 Doing Business As No other names Listed Principals  Listed Principal Name Title 10% or More Financial Interest ROSEMARY THERESA BERKERY DIRECTOR NO JOHN JOSEPH BROWN DIRECTOR NO JONATHAN EISENBERG HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO ROBERT LEROY FORSYTH III HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO WILLIAM P FREY CHIEF FINANCIAL OFFICER NO ERIC E GLICKSMAN HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO BRIAN PATRICK HULL DIRECTOR NO ROBERT JAMES MCCANN DIRECTOR NO ROBERT E MULHOLLAND CHIEF EXECUTIVE OFFICER NO PAULA DELIA POLITO DIRECTOR NO ANITA MARY SANDS CHIEF OPERATING OFFICER NO DOUGLAS T SIEGEL CHIEF COMPLIANCE OFFICER NO THOMAS FRANCIS TROY HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO UBS AMERICAS INC YES CHARLES FRANCIS WINTERS JR HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO History  Status Effective Date • SWAP FIRM APPROVED 01/02/2013  • SWAP FIRM PENDING 12/28/2012  • EXEMPT FOREIGN FIRM AGENT APPROVED 08/31/1988  • NFA MEMBER APPROVED 07/01/1982  • FUTURES COMMISSION MERCHANT REGISTERED 06/30/1982  UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO  • PRINCIPAL WITHDRAWN 01/21/2009  • PRINCIPAL APPROVED 01/10/2008