ubs securities llc board of directors

Member of the Board of UBS Americas Holding LLC; Chairman of the Board of Directors of UBS Asset Management AG; . board of directors received an email at 11:02 am that included draft resolutions approving the transaction. Bob spent five years as President of Sound Securities, LLC, an execution-only broker/dealer. 7:00 AM: UBS Board of Directors Announces Chairman and Vice Chairman NominationsRead more on 'Investegate' . . Collect, curate and comment on your files. 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 . UBS Securities LLC : Form 8.5 (EPT/NON-RI) - Firstgroup Plc. Over the past two decades, we have expanded our technology s olutions . UBS Securities LLC provides client focused advisory, capital markets and financing solutions and providing access to primary and secondary . Member Enterra Solutions, LLC, Board of Directors. Wolfe Research, LLC. Mr. Arnold was a Managing Director at UBS Securities in their Energy Group serving as the Head of Oil Field Services. Feel free to contact any board member to express your opinion on current issues. Since 2004, he has been an advisor to One Equity Partners LLC. UBS Securities LLC : 850: Morgan Stanley & Co. LLC : 864: E D & F Man Capital Markets Inc. 879: E D & F Man Capital Markets Inc. directors or promoters in response to Item 3 above. Rosemary T. Berkery, Esq. He would go on to transition to UBS in 2009, where he served as Head of The Wealth Management Advisor . Former President and CEO, Ribbon Communications. . Ubs Securities LLC is a Texas Foreign Limited-Liability Company (Llc) filed On June 29, 1998. 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. . 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. Board of Directors - Mutual of America Life Insurance Company. Rosemary T. Berkery. 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 . 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. Disclosure Events Mr. Kaye is the founder of Kayezen, LLC (formerly ARQ^EX Fitness Systems), a physical therapy and fitness equipment design company. 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 . UBS LLC is affiliated with UBS Limited and UBS AG. Three of the four members on the Bloomberg profile page for UBS Securities LLC were Chinese nationals as of Dec. 4, according . SolarEdge Technologies, Inc. is followed by the analysts listed above. EXECUTIVE DIRECTOR-CORPORATE LEGAL AND GOVERNANCE Less than 5% Individual 04/2014 2433007 . . Nationality: Swiss | Year of birth: 1965 Lukas Ghwiler brings a wealth of industry experience and in-depth understanding of UBS to the Board. Mr . . Your feedback is important to us! Additional information can be found in the detailed report. The UBS BB Board of Directors will also include two executives from UBS and two executives from Banco do Brasil. Portfolio Management Association of Canada. He was Officer at Bescval-BESC Distribuidora de Ttulos e Valores Mobilirios S.A. until 2020. Incorporated Prime Executions, Inc. . 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. EquiLend Holdings LLC was formed in 2001, and the platform went live in 2002. Search Investor Relations. Entire IR Site Documents Press Releases. Securities offered by Mutual of America Securities LLC . Stay on BrokerCheck. 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. Staple Street Capital and Communist China. Board of Directors. 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: . Download membership application / renewal form. 1 Toronto Street, Suite 905 Toronto, Ontario M5C 2V6. Create new Board. The DTCC Board is currently composed of 16 Directors. However, with regard to UBS Securities LLC (based in New York), three out of four board directors were Chinese nationals. from 2005 to 2009. Before that, he was Co-President and then President of Morgan Stanley Institutional Securities. 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. He joined the Lite-On Group in 1983 and has served in positions of increasing responsibility . Head Credit Risk Management, Corporate . 73,000 employees working in the Americas, 30% in Switzerland, 19% in Europe (excluding . UBS SECURITIES LLC Section Title Report Summary Firm History CRD# 7654 1 10 Firm Profile 2 - 9 . 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. Weinstein joined the board of directors of New Mountain Finance Corporation in August 2012. One of them, Ye Xiang, also served on board of the other subsidiary, UBS Securities Co. Ltd (based in Beijing). Chairman and CEO (Retired) UBS Bank USA New York, New York Vice Chair (Retired) UBS Wealth Management Americas New York, New York. 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. 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. Fiscal Council member at Ativos and at Brasilprev (alternate position) and Board member at BB Securities LLC. 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. Jefferies Financial Group. UBS Securities LLC Bank of America Merrill Lynch . GROUP MANAGING DIRECTOR- CHAIRMAN OF THE BOARD Less than 5% No Individual 04/2016 Yes 2414084 Is this a domestic or foreign Mr. . Mr. Kearney has over 25 years of upstream energy executive and board experience, principally in the oil services sector. Webber Research & Advisory LLC. Director UBS Securities LLC Jul 2018 - Present 3 years 8 months. Checks should be made payable to: South Florida Bond Traders Association, Inc. Post Office Box 1051. 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. . He currently is a member of the board of directors of Quotient Technology Inc. Mr. Reece serves on the Audit Committee and . Bahamas Financial Services Board Montague Sterling Centre East Bay Street P.O. The source of the claim, which is unclear, confused New York-based UBS Securities Co. LLC . 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 online version is updated regularly and is searchable. He graduated with an MBA, Finance and International Affairs, from Queen's University, Canada and did an International Exchange with Universit Louvain-la . Scrushy, in the Circuit Court of Jefferson . Alain is also a member of the Board of UBS Securities Canada Inc. 2002 - 2003. The company's filing status is listed as In Existence and its File Number is 0703845523. He previously served as VEREIT's Co Head, Real Estate from January 2015 to September 2015 and VEREIT's President . Dues are $100.00 per member per year. MINUTES OF THE BOARD OF DIRECTORS MEETING HELD ON JANUARY 17, 2022 1. Become an SFBTA Member. Prior to serving at Leerink Swann LLC, Mr. Ogens was Chairman and Co-Founder of SCS Financial Services . Principal Executive Office: 520 Madison Avenue, New York, NY 10022. Franklin W. Hobbs. CREATIVE. Amex LLC board of directors or the NYSE Regulation board of directors, each member in good . Connor McMahon. Brian Harris Founder & Chief Executive Officer . UBS Securities, a division of UBS AG, is a global investment banking firm and wealth manager. Robert Brennan Daniel W. Tandy . 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. 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 . 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. Principal Executive Office. 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. The Maybank Defendants began buying Fortress . 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. The company's filing status is listed as In Existence and its File Number is 0703845523. 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. To list your new directors, make edits, additions or deletions, please contact Barbara Wenger at bwenger . 2003 - 2010. Professional experience. Morgan Stanley & Co. If the amount is unknown, provide an . Search. Mr. Hobbs served as President and Chief Executive Officer of Ribbon Communications Inc. from December 2017 through November 2019. A quarterly version of this Roster is published in the pages of Directors & Boards. 2017 - 2022. 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. OCC Board of Directors; OCC Executives; Media Contacts; Newsroom; Member Directory; Becoming a Clearing Member; Member Services; Schedule of Fees; Investor Education . Board members are either the chief executive officer of a SIFMA member firm, or a designee of such chief executive officer. Prior to founding Redan Advisors LLC, Mr. Bartels was a senior investment professional with 20 years of experience. Managing Director Managing Director . UBS has . Collections; . From 2004 until 2012, Ms. Ressel served as the chief operating officer for UBS Securities LLC and the chief operating officer, UBS Americas. As of December 2020, UBS is present in all major financial centres worldwide, having offices in 50 countries, with about 30% of its approx. Relationship Summary. The new board members will continue in their current roles with UBS and Banco do Brasil: . OR. Previously Mr. Cruger held a number of senior positions at J.P . Chairman and CEO (Retired) UBS Bank USA. UBS Securities LLC : Form 8.5 (EPT/NON-RI) - Firstgroup Plc. UBS Securities LLC ("UBS LLC") is a New York, NY-based brokerage firm that is registered with the Commission. 2011 - 2014. UBS Securities LLC UBS Securities LLC is a Delaware limited liability company. He was named Vice Chairman and Group CEO of LTC since 2014 and stepped down on July 31, 2020. Find the perfect Ubs Securities Llc stock photos and editorial news pictures from Getty Images. Direct ownership of UBS Securities LLC is shared by Americas Holding, 1%, and UBS Americas Inc., 99%. 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 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 . John R. Greed. Two co-founders of Staple Street Capital, Stephen Owens and Hootan Yaghoobzadeh, also worked at Carlyle Group. Series 7, 55, 63 Account Manager . Nos. 520 Madison Avenue. President, Auffenberg Dealer Group of Illinois. Managing Director Senior Managing Director . Mr. Pasquesi is the Managing Member of Otter Capital LLC, a private equity investment firm he founded in January 2001. Vice Chair (Retired) UBS Wealth Management Americas. 7:00 AM: UBS Board of Directors Announces Chairman and Vice Chairman NominationsRead more on 'Investegate' . 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 . 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 . 2010 - 2016. 2014 - 2018. . Mr. Lassalvia was Executive . The Foundation for Secure Markets. 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. MAIN ADDRESS. The Directors & Boards Directors Roster is compiled from public and private company sources.

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