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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
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Firm Activity Status
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsYes
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
Regulatory Actions
 AgencyNumber
NFA3
CFTC3
Exchanges16
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent5
details...
 
CFTC Reparations Cases
Total98
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
MARK EDWARD ARNOLDCHIEF COMPLIANCE OFFICERNO
MARK BOEHMEHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
JASON RICHARD CHANDLERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
AMY FAINSBERTCHIEF FINANCIAL OFFICERNO
SHARYN JOY HANDELSMANHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
PAUL M HATCHHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
BRIAN PATRICK HULLCHIEF EXECUTIVE OFFICERNO
KATHLEEN B LYNCHCHIEF OPERATING OFFICERNO
MICHAEL FRANCIS MCGOVERNHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
SAMUEL LEONARD JR MOLINARODIRECTORNO
THOMAS C NARATILCHIEF EXECUTIVE OFFICERNO
JAMES MICHAEL JR PELLICANEHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
THOMAS FRANCIS TROYHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
UBS AMERICAS INC YES
History
 Status Effective Date
• SWAP FIRM APPROVED01/02/2013 
• SWAP FIRM PENDING12/28/2012 
• EXEMPT FOREIGN FIRM AGENT APPROVED08/31/1988 
• NFA MEMBER APPROVED07/01/1982 
• FUTURES COMMISSION MERCHANT REGISTERED06/30/1982 
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO 
• PRINCIPAL WITHDRAWN 01/21/2009 
• PRINCIPAL APPROVED 01/10/2008 
 
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