| Entity Name: | UBS SECURITIES LLC |
| Jurisdiction: | Illinois |
| Entity Type: | Limited Liability Company |
| Status: | Goodstanding |
| Date Formed: | 17 May 1996 |
| Company Number: | LLC_00069205 |
| File Number: | 00069205 |
| Type of Management: | Manager Managed |
| Date Status Change: | 18 Apr 2024 |
| Expiration Date: | 31 Dec 2050 |
| Address | 1285 AVENUE OF THE AMERICAS, NEW YORK, 10019, NY |
| Place of Formation: | DELAWARE |
| Name and Address | Role | Appointment Date |
|---|---|---|
| ILLINOIS CORPORATION SERVICE COMPANY, 801 ADLAI STEVENSON DRIVE, SPRINGFIELD, 62703, SANGAMON | Agent | 2003-10-31 |
| Name and Address | Role | Appointment Date |
|---|---|---|
| TRICIA HAZELWOOD, 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019 | Manager | 2024-04-18 |
| VAN TASSEL, JAMES, 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019 | Manager | 2024-04-18 |
| DEREK CAPANNA, 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019 | Manager | 2024-04-18 |
| MATTONE, RALPH, 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019 | Manager | 2024-04-18 |
| Name and Address | Role | Account Number |
|---|---|---|
| NINOS G ANDREWS | Director | 321611 |
| ANTHONY J PETTIPIECE | Director | 321611 |
| DOUGLAS M RODERICK | Director | 321611 |
| Name and Address | Role | Account Number |
|---|---|---|
| UBS AG | Managing member | 321611 |
| License Type | License Number | Status | License Code | License Description | Business Activity | Date Issued | Effective Date | Expiration Date |
|---|---|---|---|---|---|---|---|---|
| BUSINESS LICENSE | 2216657 | Issued | 4404 | Regulated Business License | 816 - Storage or Use of Hazardous Materials | 2016-08-25 | 2016-09-16 | 2018-09-15 |
| BUSINESS LICENSE | 1991264 | Cancelled | 1008 | Hazardous Materials | No data | 2012-09-07 | 2012-09-16 | 2014-09-15 |
| BUSINESS LICENSE | 1888345 | Cancelled | 1010 | Limited Business License | No data | 2012-09-07 | 2012-09-16 | 2014-09-15 |
| Name | Type | Effective Date | Cancellation Date | Cancellation Type | Last Renewal Date |
|---|---|---|---|---|---|
| UBS SECURITIES L.L.C. | Assumed name | 1996-05-17 | 2000-06-30 | Involuntary cancellation | No data |
| Name | Change Date |
|---|---|
| UBS WARBURG LLC | 2003-06-09 |
| WARBURG DILLON READ LLC | 2000-05-01 |
| UBS SECURITIES LLC | 1998-08-03 |
Date of last update: 16 Jan 2025
