X-17A-5: Filer Information

X-17A-5: Submission Information

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
1285 AVENUE OF THE AMERICAS
City
NEW YORK
State/Country
NEW YORK
Mailing Zip/ Portal Code
10019

Name and Telephone Number of Person to Contact in Regard to this Report

Name
christine.jenkins@ubs.com
Telephone Number
615-393-7264

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

I, Ralph Mattone, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of UBS SECURITIES LLC, as of 03-02-2020, is true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Notary Public