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(s) 10% or More
Financial Interest
GEORGE ATHANASOPOULOSHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
MARTIN KARL WOLFGANG BLESSINGHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
CHRISTIAN BLUHMHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
NIGEL BRETTONCHIEF FINANCIAL OFFICER
NO
MARKUS U DIETHELMDIRECTOR
NO
SERGIO P ERMOTTICHIEF EXECUTIVE OFFICER
NO
JAMES BERTRUM FUQUAHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
KIRTLAND GARDNERCHIEF FINANCIAL OFFICER
NO
ROBERT BROOKS KAROFSKYHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
SABINE CHRISTINE KELLER BUSSEHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
ULRICH KOERNERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
AXEL PETER LEHMANNCHIEF OPERATING OFFICER
NO
ZOE ROSALYN LESPERANCEHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
KATHLEEN B LYNCHHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
BEATRIZ MARTIN JIMENEZHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
SIOBHAN MCDONAGHHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
SAMUEL LEONARD JR MOLINARODIRECTOR
NO
EMMA MOLVIDSONMANAGING MEMBER-LLC OR LLP
NO
BRIAN MOLYNEUXHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
THOMAS C NARATILMANAGING MEMBER-LLC OR LLP
NO
JAMES P OATESCHIEF COMPLIANCE OFFICER
NO
ANDREA ORCELDIRECTOR
NO
JUAN LUIS PEREZHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
MARK WILSON SANBORNDIRECTOR
NO
KATHRYN SHIHHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
UBS GROUP AG
YES
WILLIAM DAVID VEREKERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
JUERG ZELTNERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
 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