| Entity Name: | UBS SECURITIES LLC |
| Jurisdiction: | Connecticut |
| Legal type: | LLC |
| Citizenship: | Foreign |
| Status: | Active |
| Sub status: | Annual report due |
| Date Formed: | 25 Jun 1998 |
| Business ALEI: | 0596379 |
| Annual report due: | 31 Mar 2025 |
| NAICS code: | 523150 - Investment Banking and Securities Intermediation |
| Business address: | 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, United States |
| Mailing address: | 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, United States, 10019 |
| Mailing jurisdiction address: | 251 LITTLE FALLS DRIBE, WILMINGTON, DE, 19808, |
| Office jurisdiction address: | 251 LITTLE FALLS DRIVE, WILMINGTON, DE, 19808, United States |
| Place of Formation: | DELAWARE |
| E-Mail: | Compliancemail@cscinfo.com |
| Name | Role |
|---|---|
| CORPORATION SERVICE COMPANY | Agent |
| Name | Role | Business address | Residence address |
|---|---|---|---|
| Tricia Hazelwood | Officer | 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, United States | 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, United States |
| JAMES VAN TASSEL | Officer | 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, United States | 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, United States |
| DEREK CAPANNA | Officer | 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, United States | 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, United States |
| RALPH MATTONE | Officer | 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, United States | 1200 HARBOR BOULEVARD, WEEHAWKEN, NJ, 07086, United States |
| Type | Old value | New value | Date of change |
|---|---|---|---|
| Name change | UBS WARBURG LLC | UBS SECURITIES LLC | 2003-06-09 |
| Name change | WARBURG DILLON READ LLC | UBS WARBURG LLC | 2000-05-01 |
| Name change | UBS SECURITIES LLC | WARBURG DILLON READ LLC | 1998-07-17 |
| Filing number | Filing date | Effective date | Filing category | Filing type | Report year |
|---|---|---|---|---|---|
| BF-0012266048 | 2024-03-19 | No data | Annual Report | Annual Report | No data |
| BF-0011149416 | 2023-03-11 | No data | Annual Report | Annual Report | No data |
| BF-0010360744 | 2022-02-14 | No data | Annual Report | Annual Report | 2022 |
| BF-0010465370 | 2022-01-14 | 2022-01-14 | Mass Agent Change � Address | Agent Address Change | No data |
| 0007229365 | 2021-03-15 | No data | Annual Report | Annual Report | 2021 |
| 0006950703 | 2020-07-06 | 2020-07-06 | Change of Agent Address | Agent Address Change | No data |
| 0006943532 | 2020-07-06 | 2020-07-06 | Change of Agent Address | Agent Address Change | No data |
| 0006830010 | 2020-03-13 | No data | Annual Report | Annual Report | 2020 |
| 0006347915 | 2019-01-30 | No data | Annual Report | Annual Report | 2019 |
| 0006029928 | 2018-01-24 | No data | Annual Report | Annual Report | 2018 |
Date of last update: 06 Jan 2025
Sources: Connecticut's Official State Website
