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FCM Customer Secured Amount Funds Report

UBS FINANCIAL SERVICES INC NFA ID: 0001366

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For a full list of terms and definitions used in the report, view the financial reports definitions.
 
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 5/16/2016
Total Funds in Separate Secured Amount (Section 30.7) Accounts$27,829,958
Amount to be Set Aside as the Secured Amount (Section 30.7)$4,760,060
Excess (deficiency) Set Aside for Secured Amount (Section 30.7)$23,069,898
  
Percentage of Secured Amount (Section 30.7) Funds Held: 
Cash at Banks89%
Funds at Clearing Organizations and other Carrying Brokers11%
Customer Owned Securities at Banks, Clearing Organizations and other Carrying Brokers 0%
Investments of Customer Funds at Banks, Clearing Organizations and other Carrying Brokers0%
Cash on Hand0%
Total100%
  
Percentage of Investments of Customer Funds at Banks, Clearing Organizations and other Carrying Brokers in: 
US Government Securities0%
Bank Certificates of Deposit0%
Money Market Mutual Funds0%
Municipal Securities0%
Government Sponsored Enterprise Securities0%
  
Percentage of Investments of Customer Funds at Banks, Clearing Organizations and other Carrying Brokers Held Pursuant to an Agreement to Resell: 
US Government Securities0%
Bank Certificates of Deposit0%
Money Market Mutual Funds0%
Municipal Securities0%
Government Sponsored Enterprise Securities0%
 
 
Depository Info:
Based on the firm’s most recent monthly report dated 03/31/2016, the firm maintained separate secured amount (Section 30.7) funds at a depository which is an affiliate of the firm.
 
 
Percentage of Secured Amount (Section 30.7) Funds Held:
As the percentages for secured amount (Section 30.7) funds held represent all assets, a negative value for an individual line item may be shown. For example, this could be due to cash overdrafts at banks or variation margin amounts owed to a clearing organization or carrying broker.
 
 
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