NEW YORK, NY 10019 UNITED STATES. President, Auffenberg Dealer Group of Illinois. Select from premium Ubs Securities Llc of the highest quality. He was named Vice Chairman and Group CEO of LTC since 2014 and stepped down on July 31, 2020. He would go on to transition to UBS in 2009, where he served as Head of The Wealth Management Advisor . Additional information can be found in the detailed report. Electronic Trading Coverage Goldman Sachs Jun 2007 - Jul 2018 11 years 2 months . In his past career Mr. Isaacs held the position of Senior Partner at Gagnon Securities LLC, Partner at Tekla Capital Management LLC, Managing . 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. Disclosure Events Mr. Arnold was a Managing Director at UBS Securities in their Energy Group serving as the Head of Oil Field Services. Fried, J. Head Credit Risk Management, Corporate . ), 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 . Wolfe Research, LLC. The online version is updated regularly and is searchable. He currently is a member of the board of directors of Quotient Technology Inc. Mr. Reece serves on the Audit Committee and . John M. Pasquesi has been Chair of Board since September 2019 and a director of Arch Capital since October 2001. UBS Securities LLC provides client focused advisory, capital markets and financing solutions and providing access to primary and secondary Over the past two decades, we have expanded our technology s olutions . He previously served as VEREIT's Co Head, Real Estate from January 2015 to September 2015 and VEREIT's President . Rosemary T. Berkery. 2008 - 2010. . Search Investor Relations. At the start of his career, Mr. Auffenberg began working with his father at Auffenberg Ford and is still . Bob spent five years as President of Sound Securities, LLC, an execution-only broker/dealer. CREATIVE. Luo Qiang, another board member at UBS Securities LLC, also served on the board of UBS Beijing between 2004 and 2012. MINUTES OF THE BOARD OF DIRECTORS MEETING HELD ON JANUARY 17, 2022 1. New York, NY 10022. 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. Direct ownership of UBS Securities LLC is shared by Americas Holding, 1%, and UBS Americas Inc., 99%. Rosemary T. Berkery, Esq. 73,000 employees working in the Americas, 30% in Switzerland, 19% in Europe (excluding . Managing Director Managing Director . 2002 - 2003. Chairman of the Board of Directors of UBS Asset Management AG; . UBS Securities LLC : 850: Morgan Stanley & Co. LLC : 864: E D & F Man Capital Markets Inc. 879: E D & F Man Capital Markets Inc. Stay on BrokerCheck. 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 Director of Ally since May 2009 and the current Chairman of the Board. . Member of the Group Executive Board of UBS Group AG and President UBS Switzerland. EXECUTIVE DIRECTOR-CORPORATE LEGAL AND GOVERNANCE Less than 5% Individual 04/2014 2433007 . Chairman of the Board of Directors of UBS Switzerland AG. Michael Webber. James A. Auffenberg, Jr. . The company's filing status is listed as In Existence and its File Number is 0703845523. 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. Chairman and CEO (Retired) UBS Bank USA. Prior to UBS, she was . He graduated with an MBA, Finance and International Affairs, from Queen's University, Canada and did an International Exchange with Universit Louvain-la . It turns out that three of the board members of USB Securities Co. LLC are Chinese according . (USA) LLC and UBS Securities, LLC (jointly, "International Placement Agents"), according to Underwriting and Placement Facilitation Agreement, to be entered into between the . Robert Brennan Daniel W. Tandy . 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. Amex LLC board of directors or the NYSE Regulation board of directors, each member in good . Tel: (416) 504-1118 Fax: (416) 504-1117 info@pmac.org Weinstein joined the board of directors of New Mountain Finance Corporation in August 2012. Brian Harris Founder & Chief Executive Officer . What Is OCC? One of them, Ye Xiang, also served on board of the other subsidiary, UBS Securities Co. Ltd (based in Beijing). Michael Blum. John M. Pasquesi. Member Enterra Solutions, LLC, Board of Directors. directors or promoters in response to Item 3 above. EquiLend Holdings LLC was formed in 2001, and the platform went live in 2002. 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. 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. Managing Director Senior Managing Director . The Directors & Boards Directors Roster is compiled from public and private company sources. As of December 2020, UBS is present in all major financial centres worldwide, having offices in 50 countries, with about 30% of its approx. The DTCC Board is currently composed of 16 Directors. Your feedback is important to us! . Prior to founding Redan Advisors LLC, Mr. Bartels was a senior investment professional with 20 years of experience. Webber Research & Advisory LLC. From 2009 until 2012, Chris served as Managing Partner and Chief Financial Officer of U.S. Capital Advisors LLC, an independent financial advisory firm that he co-founded. 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. 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 . Create new Board. 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 . 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. In 1994, Mr. Estey became the head of the Canadian Equities business, and in 2002 Mr. Estey was appointed President & Chief Executive Officer of UBS Securities Canada Inc. 7:00 AM: UBS Board of Directors Announces Chairman and Vice Chairman NominationsRead more on 'Investegate' . William F. Cruger, Jr. became a member of the board of directors of Virtu Financial, Inc. in 2014. Jefferies Financial Group. 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). Principal Executive Office. . . 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 . MAIN ADDRESS. Date, Time and Place: . 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 . 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. Download membership application / renewal form. Global Head of Equity Trading, AllianceBernstein. UBS LLC is affiliated with UBS Limited and UBS AG. John R. Greed. Mr. New York, New York. 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. Gwendolyn Hatten Butler . Collect, curate and comment on your files. 297. SolarEdge Technologies, Inc. is followed by the analysts listed above. Chairman, President and Chief Executive Officer Mutual of America New York, New York. 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. . As of December 2020, UBS is present in all major financial centres worldwide, having offices in 50 countries, with about 30% of its approx. . Become an SFBTA Member. Find the perfect Ubs Securities Llc stock photos and editorial news pictures from Getty Images. Since 2004, he has been an advisor to One Equity Partners LLC. Annual membership dues are included in the Conference Registration fees. Company profile page for UBS Americas Inc including stock price, company news, press releases, executives, board members, and contact information 2010 - 2016. Company profile page for UBS Securities LLC including stock price, company news, press releases, executives, board members, and contact information 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. UBS Securities LLC Bank of America Merrill Lynch . Staple Street Capital and Communist China. Please note that any opinions, estimates or forecasts regarding SolarEdge Technologies, Inc.'s performance made by these analysts are theirs alone and do not . Board members are either the chief executive officer of a SIFMA member firm, or a designee of such chief executive officer. 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. UBS Securities LLC ("UBS LLC") is a New York, NY-based brokerage firm that is registered with the Commission. Previously Mr. Cruger held a number of senior positions at J.P . Mr. Hobbs served as President and Chief Executive Officer of Ribbon Communications Inc. from December 2017 through November 2019. The company's filing status is listed as In Existence and its File Number is 0703845523. 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. 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 . While it appears three of the four board members of that subsidiary's board are Chinese and could represent Chinese investors, shareholder information is . Dues are $100.00 per member per year. James (Jamie) Auffenberg, Jr. is an expert in the automobile industry with over 33 years of experience in the field. CREATIVE. 73,000 employees working in the Americas, 30% in Switzerland, 19% in Europe (excluding . The payer of the $400 million was UBS Securities LLC, which is a subsidiary of Swiss investment bank UBS. 2011 - 2014. UBS Securities, a division of UBS AG, is a global investment banking firm and wealth manager. 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). Member of the Board of UBS Americas Holding LLC; Find the perfect Ubs Securities Llc stock photos and editorial news pictures from Getty Images. Box N-1764 Nassau, The Bahamas (242) 393-7001 Telephone (242) 393-7712 Fax info@bfsb-bahamas.com CONNECT Boards are the best place to save images and video clips. 7:00 AM: UBS Board of Directors Announces Chairman and Vice Chairman NominationsRead more on 'Investegate' . Nationality: Swiss | Year of birth: 1965 Lukas Ghwiler brings a wealth of industry experience and in-depth understanding of UBS to the Board. 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. Global Head Equities, UBS. Collections; . Before that, he was Co-President and then President of Morgan Stanley Institutional Securities. And, Safa spent 20 years at UBS, serving as co-head of . New York, New York. Morgan Stanley & Co. 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 . Create new Board. The Maybank Defendants began buying Fortress . Scrushy, in the Circuit Court of Jefferson . Securities offered by Mutual of America Securities LLC . The Foundation for Secure Markets. He was most recently Vice Chairman of Investment Banking at J.P. Morgan and Co. where he was responsible for key client relationships on a global basis. board of directors received an email at 11:02 am that included draft resolutions approving the transaction. Former President and CEO, Ribbon Communications. Fiscal Council member at Ativos and at Brasilprev (alternate position) and Board member at BB Securities LLC. UBS SECURITIES LLC Section Title Report Summary Firm History CRD# 7654 1 10 Firm Profile 2 - 9 . Visit SEC Site. Adamany has been a director on the parent board, Jefferies Financial Group Inc. since 2014, and the Jefferies Group LLC board since 2018. Mr. . . Prior to co-founding U.S. Capital Advisors LLC, Chris was an energy investment banker at UBS Securities LLC, Morgan Stanley & Co., and PaineWebber Incorporated. 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 . Collect, curate and comment on your files. Board of Directors - Mutual of America Life Insurance Company. 1285 AVENUE OF THE AMERICAS. Prior to serving at Leerink Swann LLC, Mr. Ogens was Chairman and Co-Founder of SCS Financial Services . Two co-founders of Staple Street Capital, Stephen Owens and Hootan Yaghoobzadeh, also worked at Carlyle Group. Ubs Securities LLC is a Texas Foreign Limited-Liability Company (Llc) filed On June 29, 1998. EXECUTIVE DIRECTOR-CORPORATE LEGAL AND GOVERNANCE Less than 5% Individual 04/2014 2433007 . Three of the four members on the Bloomberg profile page for UBS Securities LLC were Chinese nationals as of Dec. 4, according . Previously, Mr. Kearney served as supervisory director from November . Search. 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. . However, with regard to UBS Securities LLC (based in New York), three out of four board directors were Chinese nationals. Kennard has served on the AT&T Board of Directors since 2014. The Board of Directors (BoD) of UBS Group AG, under the leadership of the Chairman, consists of six to 12 members as per our Articles of Association. Select from premium Ubs Securities Llc of the highest quality. Summary. 2017 - 2022. 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. Alain is also a member of the Board of UBS Securities Canada Inc. from 2005 to 2009. Member of the Board of Treliant LLC; Chief Credit Officer, Global Private and Corporate Banking, Credit Suisse. New York, New York. All Board members have the authority to represent the views of their firms and are elected on a staggered basis by the SIFMA membership . GROUP MANAGING DIRECTOR- CHAIRMAN OF THE BOARD Less than 5% No Individual 04/2016 Yes 2414084 Is this a domestic or foreign Bahamas Financial Services Board Montague Sterling Centre East Bay Street P.O. UBS Securities LLC UBS Securities LLC is a Delaware limited liability company. Mr. Lassalvia was Executive . He joined the Lite-On Group in 1983 and has served in positions of increasing responsibility . A filing with the U.S. Securities and Exchange Commission (SEC) shows that UBS Securities LLC arranged a private placement of $400 million with Staple Street Capital III, L.P. on October 8, 2020. . Portfolio Management Association of Canada. OCC Board of Directors; OCC Executives; Media Contacts; Newsroom; Member Directory; Becoming a Clearing Member; Member Services; Schedule of Fees; Investor Education . Director UBS Securities LLC Jul 2018 - Present 3 years 8 months. UBS SECURITIES LLC Section Title Report Summary Firm History CRD# 7654 1 10 Firm Profile 2 - 9 . Order, Supreme Court, New York County (Bernard J. . 2.1.3. 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. Visit the SEC's Investment Adviser Public Disclosure website for more information on this individual. . Series 7, 55, 63 Account Manager . Mr. Kearney has over 25 years of upstream energy executive and board experience, principally in the oil services sector. On the other hand, some of this evolution is in a far more frightening direction. 2014 - 2018. 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). Connor McMahon. He was Officer at Bescval-BESC Distribuidora de Ttulos e Valores Mobilirios S.A. until 2020. President UBS Securities LLC, UBS. Checks should be made payable to: South Florida Bond Traders Association, Inc. Post Office Box 1051. 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 . Collections; . Incorporated Prime Executions, Inc. . 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: . 2003 - 2010. Professional experience. The Board of Directors of UBS Group AG has five Board committees, read more about its members and responsibilities. Paul H. McDowell. Go to SEC Site. Boards are the best place to save images and video clips. Mr . overseeing both the Institutional Securities Business and Wealth Management. John R. Greed. Chairman and CEO (Retired) UBS Bank USA New York, New York Vice Chair (Retired) UBS Wealth Management Americas New York, New York. Nos. Feel free to contact any board member to express your opinion on current issues. 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 . 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. UBS Securities LLC : Form 8.5 (EPT/NON-RI) - Firstgroup Plc. William F. Cruger Jr.,Director. 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. Relationship Summary. OR. Vice Chair (Retired) UBS Wealth Management Americas. The UBS BB Board of Directors will also include two executives from UBS and two executives from Banco do Brasil. Mr. Pasquesi is the Managing Member of Otter Capital LLC, a private equity investment firm he founded in January 2001. UBS has . Mr. Kaye is the founder of Kayezen, LLC (formerly ARQ^EX Fitness Systems), a physical therapy and fitness equipment design company. 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 . Franklin W. Hobbs. From 2004 until 2012, Ms. Ressel served as the chief operating officer for UBS Securities LLC and the chief operating officer, UBS Americas. 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. If the amount is unknown, provide an . Wells Fargo. A claim stating China invested $400 million in Dominion Voting Systems is FALSE, based on our research. July 21, 2011. 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. Principal Executive Office: 520 Madison Avenue, New York, NY 10022. Ubs Securities LLC is a Texas Foreign Limited-Liability Company (Llc) filed On June 29, 1998. The source of the claim, which is unclear, confused New York-based UBS Securities Co. LLC . 520 Madison Avenue. SIFMA's Board of Directors manages the business and affairs of the Association. 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.