2011 - 2014. NEW YORK, NY 10019 UNITED STATES. Three of the four members on the Bloomberg profile page for UBS Securities LLC were Chinese nationals as of Dec. 4, according . Become an SFBTA Member. From 2004 until 2012, Ms. Ressel served as the chief operating officer for UBS Securities LLC and the chief operating officer, UBS Americas. James (Jamie) Auffenberg, Jr. is an expert in the automobile industry with over 33 years of experience in the field. Annual membership dues are included in the Conference Registration fees. The company's filing status is listed as In Existence and its File Number is 0703845523. Date, Time and Place: . UBS Securities LLC UBS Securities LLC is a Delaware limited liability company. . UBS Securities LLC regularly reports to the Financial Industry Regulatory Authority, Inc on form B-D and to the SEC on the Schedule E to Form ADV investigations that result in orders. UBS SECURITIES LLC Section Title Report Summary Firm History CRD# 7654 1 10 Firm Profile 2 - 9 . Search Investor Relations. Scrushy, in the Circuit Court of Jefferson . Prior to founding Redan Advisors LLC, Mr. Bartels was a senior investment professional with 20 years of experience. Select from premium Ubs Securities Llc of the highest quality. James A. Auffenberg, Jr. PennantPark Investment Corporation (the "Company") (NYSE: PNNT) announced today the appointment of Mr. Jos A. Briones, Jr. to the Company's Board of Directors, effective May 3, 2022. He was named Vice Chairman and Group CEO of LTC since 2014 and stepped down on July 31, 2020. Member of the Group Executive Board of UBS Group AG and President UBS Switzerland. Wolfe Research, LLC. Franklin W. Hobbs. New York, New York. The Foundation for Secure Markets. Vice Chair (Retired) UBS Wealth Management Americas. 2008 - 2010. . Amex LLC board of directors or the NYSE Regulation board of directors, each member in good . UBS Securities LLC ("UBS LLC") is a New York, NY-based brokerage firm that is registered with the Commission. EXECUTIVE DIRECTOR-CORPORATE LEGAL AND GOVERNANCE Less than 5% Individual 04/2014 2433007 . UBS SECURITIES LLC: 7654 (Associated) Broker or Dealer: X: None (Associated) Broker or Dealer CRD Number: X: None: None: None: Street Address 1 Street Address 2; 1285 AVENUE OF THE AMERICAS: City: State/Province/Country: ZIP/Postal Code: NEW YORK: . Visit the SEC's Investment Adviser Public Disclosure website for more information on this individual. 1285 AVENUE OF THE AMERICAS. Find the perfect Ubs Securities Llc stock photos and editorial news pictures from Getty Images. No, that's not accurate: A Swiss investment bank's New York subsidiary, UBS Securities LLC, in October bought $400 million in shares Dominion's parent company, Staple Street Capital LLC. Please note that any opinions, estimates or forecasts regarding SolarEdge Technologies, Inc.'s performance made by these analysts are theirs alone and do not . Staple Street Capital and Communist China. President, Auffenberg Dealer Group of Illinois. Michael Webber. The company's filing status is listed as In Existence and its File Number is 0703845523. Member Enterra Solutions, LLC, Board of Directors. Of these, 10 are representatives of clearing agency participants, including international broker/dealers, custodian and clearing banks, and investment institutions; one Director is designated by DTCC's preferred shareholder, NYSE Euronext; three Directors are representatives of non-clearing agency participants; and the remaining board . The online version is updated regularly and is searchable. Nationality: Swiss | Year of birth: 1965 Lukas Ghwiler brings a wealth of industry experience and in-depth understanding of UBS to the Board. Previously Mr. Cruger held a number of senior positions at J.P . Prior to UBS, she was . Feel free to contact any board member to express your opinion on current issues. And, Safa spent 20 years at UBS, serving as co-head of . The DTCC Board is currently composed of 16 Directors. Mr. Arnold was a Managing Director at UBS Securities in their Energy Group serving as the Head of Oil Field Services. The Maybank Defendants began buying Fortress . Former President and CEO, Ribbon Communications. This is UBS' New York affiliate, not the UBS Securities Co., Ltd. that is openly affiliated with the Chinese communist, and which we incorrectly cited as the purchaser. UBS has . Visit SEC Site. (USA) LLC and UBS Securities, LLC (jointly, "International Placement Agents"), according to Underwriting and Placement Facilitation Agreement, to be entered into between the . John M. Pasquesi has been Chair of Board since September 2019 and a director of Arch Capital since October 2001. EquiLend Holdings LLC was formed in 2001, and the platform went live in 2002. The Directors & Boards Directors Roster is compiled from public and private company sources. Search. . Ubs Securities LLC is a Texas Foreign Limited-Liability Company (Llc) filed On June 29, 1998. One of them, Ye Xiang, also served on board of the other subsidiary, UBS Securities Co. Ltd (based in Beijing). RBC Capital Markets, LLC and UBS Securities LLC, as representatives of the several underwriters listed on Schedule A attached thereto (the "Underwriting Agreement"), and (ii) receipt by the Company of the consideration for the Series C Preferred Stock specified in the resolutions of the Board of Directors and the Pricing Committee of the Board of Directors, the Series C Preferred Stock . . Professional experience. Rosemary T. Berkery. Company profile page for UBS Securities LLC including stock price, company news, press releases, executives, board members, and contact information UBS Securities LLC : 850: Morgan Stanley & Co. LLC : 864: E D & F Man Capital Markets Inc. 879: E D & F Man Capital Markets Inc. Mr. Hobbs served as President and Chief Executive Officer of Ribbon Communications Inc. from December 2017 through November 2019. Chairman and CEO (Retired) UBS Bank USA. 2017 - 2022. Prior to founding Kayezen, LLC, Mr. Kaye served as a Vice Chairman and Managing Director of UBS Investment Bank, and a member of the division's Global Operating and U.S. Executive Committees, from June 2001 to May 2012. Prior to forming Ladder, Mr. Harris served as a Senior Partner and Head of Global Commercial Real Estate at Dillon Read Capital Management, a wholly owned subsidiary of UBS, and previously as Head of Global Commercial Real Estate at UBS and a Member of the Board of UBS Investment Bank, as well as Head of Commercial Mortgage Trading at Credit Suisse. He would go on to transition to UBS in 2009, where he served as Head of The Wealth Management Advisor . 2002 - 2003. Webber Research & Advisory LLC. Mu Lina, who was a board member of the New York subsidiary, worked as the director of wealth management funds and head of fund operations at UBS Beijing, based on public information. Mr. Michael Blum. Entire IR Site Documents Press Releases. Company profile page for UBS Americas Inc including stock price, company news, press releases, executives, board members, and contact information Fiscal Council member at Ativos and at Brasilprev (alternate position) and Board member at BB Securities LLC. What Is OCC? Gwendolyn Hatten Butler . 7:00 AM: UBS Board of Directors Announces Chairman and Vice Chairman NominationsRead more on 'Investegate' . Counsel to the Exchange Board of Directors or CFR; any other NYSE employee; or any Regulatory Staff as defined in Rule 9120 in connection with such person's or . UBS Securities LLC Bank of America Merrill Lynch . From 2001 to 2005, Mr. Brandi was a Managing Director at UBS Securities, LLC, where he was the Deputy Global Head of the Energy and Power Groups. He graduated with an MBA, Finance and International Affairs, from Queen's University, Canada and did an International Exchange with Universit Louvain-la . Mr. Pasquesi is the Managing Member of Otter Capital LLC, a private equity investment firm he founded in January 2001. Global Head of Equity Trading, AllianceBernstein. 1 Toronto Street, Suite 905 Toronto, Ontario M5C 2V6. UBS Securities LLC : Form 8.5 (EPT/NON-RI) - Firstgroup Plc. Rosemary T. Berkery, Esq. Managing Director Managing Director . Nos. Robert Brennan Daniel W. Tandy . As of December 2020, UBS is present in all major financial centres worldwide, having offices in 50 countries, with about 30% of its approx. Over the past two decades, we have expanded our technology s olutions . In January 2008, Mr. Estey assumed the role of Chairman of UBS Securities Canada Inc. Mr. Estey is a director and Chairman of Gibson Energy Inc., a TSX-listed oil and gas . Create new Board. Chief Credit Officer, Global Private and Corporate Banking, Credit Suisse. Mr. Warren Chen has been a member of the Board of Lite-On Technology Corp. ("LTC") since 2002 and was promoted to President of the Lite-On Group in 2010. John R. Greed. Brian Harris Founder & Chief Executive Officer . He currently is a member of the board of directors of Quotient Technology Inc. Mr. Reece serves on the Audit Committee and . Boards are the best place to save images and video clips. . 73,000 employees working in the Americas, 30% in Switzerland, 19% in Europe (excluding . Chairman, President and Chief Executive Officer Mutual of America New York, New York. Director of Ally since May 2009 and the current Chairman of the Board. Bob spent five years as President of Sound Securities, LLC, an execution-only broker/dealer. A quarterly version of this Roster is published in the pages of Directors & Boards. LIONTREE ADVISORS LLC 745 Fifth Avenue 15th Floor New York, NY 10151 CRD# 164399 Registered with this firm since: 10/05/2012 B Report Summary for this Broker This report summary provides an overview of the broker's professional background and conduct. Connor McMahon. Chairman and CEO (Retired) UBS Bank USA New York, New York Vice Chair (Retired) UBS Wealth Management Americas New York, New York. July 21, 2011. The Registered Agent on file for this company is Corporation Service Company Dba Csc - Lawyers Incorporating Service Company and is located at 701 Brazos Street, Suite 1050, Austin, TX 78701. . Paul H. McDowell. UBS SECURITIES LLC Section Title Report Summary Firm History CRD# 7654 1 10 Firm Profile 2 - 9 . Code of Procedure, UBS Securities LLC ("UBS" or the "Firm") submits this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the . Incorporated Prime Executions, Inc. . Download membership application / renewal form. UBS is a joint-stock company (Aktiengesellschaft) pursuant to Swiss laws.Its shares are listed at the SIX Swiss Exchange and the New York Stock Exchange (NYSE). 7:00 AM: UBS Board of Directors Announces Chairman and Vice Chairman NominationsRead more on 'Investegate' . . 73,000 employees working in the Americas, 30% in Switzerland, 19% in Europe (excluding . Additional information can be found in the detailed report. Mr. Reece has previously served as a member of the board of directors of Atlas Technical Consultants, Inc., Del Frisco's Restaurant Group, Inc., RumbleOn, Inc., CST Brands, Inc., LSB Industries, Inc. and UBS Securities LLC. Managing Director Senior Managing Director . Filings with the U.S. Securities and Exchange Committee (SEC) showed that the UBS Securities LLC invested $400 million in Staple Street Capital III, L.P. and another $400 million in Staple Street . Mr . New York, New York. OR. SAN FRANCISCO, Jan. 28, 2020 /PRNewswire/ -- Robertson Stephens Wealth Management, LLC ("Robertson Stephens") has expanded its parent company board with the appointment of Carsten Kengeter, former . He served as Chairman of the Board of UBS Switzerland AG for five years and was a member of the Group Executive Board of UBS and President UBS Switzerland from 2010 to 2016, responsible for the private clients, wealth management, corporate and . He is a member of the Board of Directors of UBS BB, Banco Patagonia and Securities London and New York, a member of the Advisory Board of Previ Futuro and a member of the Supervisory Board of Ativos and Brasilprev (alternate). Alain is also a member of the Board of UBS Securities Canada Inc. Luo Qiang, another board member at UBS Securities LLC, also served on the board of UBS Beijing between 2004 and 2012. Find the perfect Ubs Securities Llc stock photos and editorial news pictures from Getty Images. 2010 - 2016. All Board members have the authority to represent the views of their firms and are elected on a staggered basis by the SIFMA membership . President George Barbar, Mesirow Vice President Krista Martin, Multi-Bank Securities, Inc. Directors David Bove, Amherst Pierpont Securities LLC Beau Brudzinski, Amherst Pierpont Securities LLC Michael Drews, Multi-Bank Securities . The BoD decides on the strategy of the Group upon recommendation of the Group Chief Executive Officer (Group CEO) and is responsible for the overall direction, supervision and control of the Group . Morgan Stanley & Co. He was Officer at Bescval-BESC Distribuidora de Ttulos e Valores Mobilirios S.A. until 2020. 2014 - 2018. Board of Directors - Mutual of America Life Insurance Company. William F. Cruger, Jr. became a member of the board of directors of Virtu Financial, Inc. in 2014. The Board of Directors of UBS Group AG has five Board committees, read more about its members and responsibilities. Principal Executive Office: 520 Madison Avenue, New York, NY 10022. EXECUTIVE DIRECTOR-CORPORATE LEGAL AND GOVERNANCE Less than 5% Individual 04/2014 2433007 . from 2005 to 2009. Your feedback is important to us! Before that, he was Co-President and then President of Morgan Stanley Institutional Securities. HealthSouth Corporation announced today that the Company and derivative stockholder plaintiffs have reached an agreement in principle with UBS Securities, LLC and UBS AG, Stamford Branch (together, "UBS"), as well as UBS's insurance carriers, to settle litigation filed by the derivative plaintiffs on the Company's behalf, captioned Tucker v. . Ubs Securities LLC is a Texas Foreign Limited-Liability Company (Llc) filed On June 29, 1998. 2003 - 2010. Mr. Kaye is the founder of Kayezen, LLC (formerly ARQ^EX Fitness Systems), a physical therapy and fitness equipment design company. Weinstein joined the board of directors of New Mountain Finance Corporation in August 2012. Alain Auclair is Managing Director, Head of Global Banking-Canada, UBS Securities Canada and is responsible for leading UBS' advisory and capital raising business in Canada. Checks should be made payable to: South Florida Bond Traders Association, Inc. Post Office Box 1051. From November 2017 to September 2019, he was Lead Director. overseeing both the Institutional Securities Business and Wealth Management. Prior to 2001, Mr. Brandi was a Managing Director at Dillon, Read & Co. Inc. and later its successor firm, UBS Warburg, concentrating on transactions in the energy and consumer goods areas. From 1986 to 1996, Ms. Josephs was a senior executive with Goldman, Sachs & Co. serving in the real estate group of the investment banking division and, later, in the equity capital markets division. 2.1.3. Two co-founders of Staple Street Capital, Stephen Owens and Hootan Yaghoobzadeh, also worked at Carlyle Group. Relationship Summary. William F. Cruger Jr.,Director. Mr. McDowell serves as the Chief Executive Officer at Orion Office REIT Inc. Mr. McDowell has served as VEREIT, Inc.'s ("VEREIT") Executive Vice President and Chief Operating Officer since October 2015. President UBS Securities LLC, UBS. MINUTES OF THE BOARD OF DIRECTORS MEETING HELD ON JANUARY 17, 2022 1. Jefferies Financial Group. ), entered August 9, 2010, which, insofar as appealed from, in this consolidated action arising out of investment losses incurred by plaintiffs, denied defendant Highland Capital Management, L.P's motion to dismiss the complaint in the second action as to . Chairman of the Board of Directors of UBS Switzerland AG. UBS Securities LLC : Form 8.5 (EPT/NON-RI) - Firstgroup Plc. Create new Board. Chairman of the Board of Directors of UBS Asset Management AG; . Member of the Board of Treliant LLC; Director UBS Securities LLC Jul 2018 - Present 3 years 8 months. The Issuer and UBS have also discussed the possibility of UBS having a representative serve as a director on the Board of Directors of the Issuer. To list your new directors, make edits, additions or deletions, please contact Barbara Wenger at bwenger . In 2000, a group of 10 global financial institutions joined together with a common goal of optimiz ing efficiency in the securities finance industry by developing a standardized and centralized global platform for trading and post-trade services. GROUP MANAGING DIRECTOR- CHAIRMAN OF THE BOARD Less than 5% No Individual 04/2016 Yes 2414084 Is this a domestic or foreign Stay on BrokerCheck. John M. Pasquesi. 297. He previously served as VEREIT's Co Head, Real Estate from January 2015 to September 2015 and VEREIT's President . UBS LLC is affiliated with UBS Limited and UBS AG. Mr. Kearney currently serves as the Company's Chairman of the Board and non-executive director of the Board, a position he has held since October 2021. John R. Greed. Ian Isaacs occupies the position of Senior Vice President-Investment at Painewebber & Co., Inc. Mr. Isaacs is also on the board of Greenlight Capital Re Ltd. and Greenlight Reinsurance Ltd. Member of the Board of UBS Americas Holding LLC; The UBS BB Board of Directors will also include two executives from UBS and two executives from Banco do Brasil. Mr. Kearney has over 25 years of upstream energy executive and board experience, principally in the oil services sector. Wells Fargo. Direct ownership of UBS Securities LLC is shared by Americas Holding, 1%, and UBS Americas Inc., 99%. Kennard has served on the AT&T Board of Directors since 2014. Company profile page for UBS Americas Inc including stock price, company news, press releases, executives, board members, and contact information He is also a member of the UConn Health Board of Directors, corporator for Saint Francis Hospital and Medical Center, and member of the Board of Governors for Hartford Hospital. The payer of the $400 million was UBS Securities LLC, which is a subsidiary of Swiss investment bank UBS. Collect, curate and comment on your files. Mr. Lassalvia was Executive . Ms. Josephs currently serves as a member of the Board of Directors of iStar Inc., where she is Lead Director, Chair of the nominating and . Previously, Mr. Kearney served as supervisory director from November . Principal Executive Office. A claim stating China invested $400 million in Dominion Voting Systems is FALSE, based on our research. Board members are either the chief executive officer of a SIFMA member firm, or a designee of such chief executive officer. Patrick J. Bartels Jr. is the Managing Member of Redan Advisors LLC, a firm that provides fiduciary services, including board of director representation and strategic planning advisory services for domestic and international public and private business entities. . Select from premium Ubs Securities Llc of the highest quality. Portfolio Management Association of Canada. At the start of his career, Mr. Auffenberg began working with his father at Auffenberg Ford and is still . The Registered Agent on file for this company is Corporation Service Company Dba Csc - Lawyers Incorporating Service Company and is located at 701 Brazos Street, Suite 1050, Austin, TX 78701. . On the other hand, some of this evolution is in a far more frightening direction. board of directors received an email at 11:02 am that included draft resolutions approving the transaction. Since 2004, he has been an advisor to One Equity Partners LLC. Order, Supreme Court, New York County (Bernard J. Collections; . SolarEdge Technologies, Inc. is followed by the analysts listed above. Prior to serving at Leerink Swann LLC, Mr. Ogens was Chairman and Co-Founder of SCS Financial Services .