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.
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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(s) 10% or More
Financial Interest
MARK EDWARD ARNOLDCHIEF COMPLIANCE OFFICER
NO
MARK BOEHMEHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
JASON RICHARD CHANDLERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
SAMUEL DESCOVICHHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
AMY FAINSBERTCHIEF FINANCIAL OFFICER
NO
ERIC E GLICKSMANHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
SHARYN JOY HANDELSMANHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
PAUL M HATCHHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
BRIAN PATRICK HULLDIRECTOR
NO
ANDREW LEENO LISTED TITLE
NO
KATHLEEN B LYNCHCHIEF OPERATING OFFICER
NO
JOHN SCOTT MATHEWSHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
MICHAEL FRANCIS MCGOVERNHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
SAMUEL LEONARD JR MOLINARODIRECTOR
NO
THOMAS C NARATILDIRECTOR
NO
JAMES MICHAEL JR PELLICANEHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
THOMAS FRANCIS TROYHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
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• PRINCIPAL WITHDRAWN 01/21/2009 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