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Office of the Secretary of State of Missouri Case No. AP1014 IN THE MATTER OF: UBS SECURITIES, LLC (CRD# 7654) AND UBS FINANCIAL SERVICES INC. (CRD# 8174), Respondents. CONSENT ORDER WHEREAS, UBS
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UBS Securities LLC is a registered broker-dealer and investment advisor.
UBS Securities LLC is required to file with the appropriate regulatory authorities and compliance organizations.
UBS Securities LLC must complete the necessary forms and disclosures as required by the regulatory bodies.
The purpose of UBS Securities LLC is to facilitate securities trading and provide investment advisory services to clients.
UBS Securities LLC must report information on client transactions, holdings, and compliance with regulatory requirements.
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