Bob spent five years as President of Sound Securities, LLC, an execution-only broker/dealer. 2.1.3. Dues are $100.00 per member per year. . Boards are the best place to save images and video clips. Collections; . Mr. Kaye is the founder of Kayezen, LLC (formerly ARQ^EX Fitness Systems), a physical therapy and fitness equipment design company. The payer of the $400 million was UBS Securities LLC, which is a subsidiary of Swiss investment bank UBS. John R. Greed. Order, Supreme Court, New York County (Bernard J. Scrushy, in the Circuit Court of Jefferson . Mr. Lassalvia was Executive . He currently is a member of the board of directors of Quotient Technology Inc. Mr. Reece serves on the Audit Committee and . 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 . 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. From November 2017 to September 2019, he was Lead Director. Stay on BrokerCheck. OR. Disclosure Events Adamany has been a director on the parent board, Jefferies Financial Group Inc. since 2014, and the Jefferies Group LLC board since 2018. New York, New York. July 21, 2011. The source of the claim, which is unclear, confused New York-based UBS Securities Co. LLC . It turns out that three of the board members of USB Securities Co. LLC are Chinese according . Ubs Securities LLC is a Texas Foreign Limited-Liability Company (Llc) filed On June 29, 1998. Your feedback is important to us! Search Investor Relations. 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 . . 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. Mr. Pasquesi is the Managing Member of Otter Capital LLC, a private equity investment firm he founded in January 2001. GROUP MANAGING DIRECTOR- CHAIRMAN OF THE BOARD Less than 5% No Individual 04/2016 Yes 2414084 Is this a domestic or foreign CREATIVE. CREATIVE. . Chairman of the Board of Directors of UBS Switzerland AG. NEW YORK, NY 10019 UNITED STATES. Member of the Group Executive Board of UBS Group AG and President UBS Switzerland. 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. Checks should be made payable to: South Florida Bond Traders Association, Inc. Post Office Box 1051. Mr. Arnold was a Managing Director at UBS Securities in their Energy Group serving as the Head of Oil Field Services. 297. Select from premium Ubs Securities Llc of the highest quality. Additional information can be found in the detailed report. overseeing both the Institutional Securities Business and Wealth Management. EXECUTIVE DIRECTOR-CORPORATE LEGAL AND GOVERNANCE Less than 5% Individual 04/2014 2433007 . James (Jamie) Auffenberg, Jr. is an expert in the automobile industry with over 33 years of experience in the field. Prior to UBS, she was . Vice Chair (Retired) UBS Wealth Management Americas. UBS Securities LLC : Form 8.5 (EPT/NON-RI) - Firstgroup Plc. Electronic Trading Coverage Goldman Sachs Jun 2007 - Jul 2018 11 years 2 months . Board members are either the chief executive officer of a SIFMA member firm, or a designee of such chief executive officer. MAIN ADDRESS. 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 . ), 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 . 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. John M. Pasquesi has been Chair of Board since September 2019 and a director of Arch Capital since October 2001. Box N-1764 Nassau, The Bahamas (242) 393-7001 Telephone (242) 393-7712 Fax info@bfsb-bahamas.com CONNECT Michael Webber. 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. UBS Securities LLC : 850: Morgan Stanley & Co. LLC : 864: E D & F Man Capital Markets Inc. 879: E D & F Man Capital Markets Inc. Find the perfect Ubs Securities Llc stock photos and editorial news pictures from Getty Images. The Directors & Boards Directors Roster is compiled from public and private company sources. He previously served as VEREIT's Co Head, Real Estate from January 2015 to September 2015 and VEREIT's President . 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. The company's filing status is listed as In Existence and its File Number is 0703845523. Collect, curate and comment on your files. Collections; . In his past career Mr. Isaacs held the position of Senior Partner at Gagnon Securities LLC, Partner at Tekla Capital Management LLC, Managing . EXECUTIVE DIRECTOR-CORPORATE LEGAL AND GOVERNANCE Less than 5% Individual 04/2014 2433007 . UBS Securities LLC Bank of America Merrill Lynch . 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. 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). From 2004 until 2012, Ms. Ressel served as the chief operating officer for UBS Securities LLC and the chief operating officer, UBS Americas. Previously Mr. Cruger held a number of senior positions at J.P . A claim stating China invested $400 million in Dominion Voting Systems is FALSE, based on our research. Professional experience. Mr. Kearney has over 25 years of upstream energy executive and board experience, principally in the oil services sector. Kennard has served on the AT&T Board of Directors since 2014. 2010 - 2016. Incorporated Prime Executions, Inc. . He joined the Lite-On Group in 1983 and has served in positions of increasing responsibility . 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 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. 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). . Staple Street Capital and Communist China. 1 Toronto Street, Suite 905 Toronto, Ontario M5C 2V6. 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. . Nationality: Swiss | Year of birth: 1965 Lukas Ghwiler brings a wealth of industry experience and in-depth understanding of UBS to the Board. SolarEdge Technologies, Inc. is followed by the analysts listed above. Bahamas Financial Services Board Montague Sterling Centre East Bay Street P.O. 2008 - 2010. . The Board of Directors of UBS Group AG has five Board committees, read more about its members and responsibilities. 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. . Brian Harris Founder & Chief Executive Officer . UBS LLC is affiliated with UBS Limited and UBS AG. At the start of his career, Mr. Auffenberg began working with his father at Auffenberg Ford and is still . Find the perfect Ubs Securities Llc stock photos and editorial news pictures from Getty Images. Managing Director Managing Director . Amex LLC board of directors or the NYSE Regulation board of directors, each member in good . 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. John R. Greed. Alain is also a member of the Board of UBS Securities Canada Inc. If the amount is unknown, provide an . 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. Tel: (416) 504-1118 Fax: (416) 504-1117 info@pmac.org One of them, Ye Xiang, also served on board of the other subsidiary, UBS Securities Co. Ltd (based in Beijing). Select from premium Ubs Securities Llc of the highest quality. 2017 - 2022. Feel free to contact any board member to express your opinion on current issues. Principal Executive Office. 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. Connor McMahon. directors or promoters in response to Item 3 above. He would go on to transition to UBS in 2009, where he served as Head of The Wealth Management Advisor . A quarterly version of this Roster is published in the pages of Directors & Boards. 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. Prior to founding Redan Advisors LLC, Mr. Bartels was a senior investment professional with 20 years of experience. Global Head Equities, UBS. 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. Director UBS Securities LLC Jul 2018 - Present 3 years 8 months. New York, New York. 1285 AVENUE OF THE AMERICAS. Fiscal Council member at Ativos and at Brasilprev (alternate position) and Board member at BB Securities LLC. Entire IR Site Documents Press Releases. 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. Wolfe Research, LLC. Mr. Hobbs served as President and Chief Executive Officer of Ribbon Communications Inc. from December 2017 through November 2019. Relationship Summary. Managing Director Senior Managing Director . 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. Since 2004, he has been an advisor to One Equity Partners LLC. Jefferies Financial Group. from 2005 to 2009. 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. GROUP MANAGING DIRECTOR- CHAIRMAN OF THE BOARD Less than 5% No Individual 04/2016 Yes 2414084 Is this a domestic or foreign New York, New York. 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). 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 2002 - 2003. Direct ownership of UBS Securities LLC is shared by Americas Holding, 1%, and UBS Americas Inc., 99%. Fried, J. . Chairman, President and Chief Executive Officer Mutual of America New York, New York. 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 . The DTCC Board is currently composed of 16 Directors. UBS Securities LLC UBS Securities LLC is a Delaware limited liability company. Member Enterra Solutions, LLC, Board of Directors. President UBS Securities LLC, UBS. Become an SFBTA Member. Company profile page for UBS Americas Inc including stock price, company news, press releases, executives, board members, and contact information William F. Cruger, Jr. became a member of the board of directors of Virtu Financial, Inc. in 2014. James A. Auffenberg, Jr. 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. As of December 2020, UBS is present in all major financial centres worldwide, having offices in 50 countries, with about 30% of its approx. 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. Go to SEC Site. Portfolio Management Association of Canada. Mr. . EquiLend Holdings LLC was formed in 2001, and the platform went live in 2002. Annual membership dues are included in the Conference Registration fees. 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. board of directors received an email at 11:02 am that included draft resolutions approving the transaction. UBS SECURITIES LLC Section Title Report Summary Firm History CRD# 7654 1 10 Firm Profile 2 - 9 . He was Officer at Bescval-BESC Distribuidora de Ttulos e Valores Mobilirios S.A. until 2020. Create new Board. 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. New York, NY 10022. Paul H. McDowell. UBS Securities LLC provides client focused advisory, capital markets and financing solutions and providing access to primary and secondary He was named Vice Chairman and Group CEO of LTC since 2014 and stepped down on July 31, 2020. The Foundation for Secure Markets. Rosemary T. Berkery. However, with regard to UBS Securities LLC (based in New York), three out of four board directors were Chinese nationals. 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. 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 . 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 . MINUTES OF THE BOARD OF DIRECTORS MEETING HELD ON JANUARY 17, 2022 1. 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. . Before that, he was Co-President and then President of Morgan Stanley Institutional Securities. Board of Directors. Former President and CEO, Ribbon Communications. Download membership application / renewal form. Robert Brennan Daniel W. Tandy . 2014 - 2018. Gwendolyn Hatten Butler . He graduated with an MBA, Finance and International Affairs, from Queen's University, Canada and did an International Exchange with Universit Louvain-la . John M. Pasquesi. Wells Fargo. What Is OCC? . Michael Blum. And, Safa spent 20 years at UBS, serving as co-head of . UBS has . Global Head of Equity Trading, AllianceBernstein. Visit SEC Site. The company's filing status is listed as In Existence and its File Number is 0703845523. Visit the SEC's Investment Adviser Public Disclosure website for more information on this individual. 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 . Company profile page for UBS Americas Inc including stock price, company news, press releases, executives, board members, and contact information Rosemary T. Berkery, Esq. Director of Ally since May 2009 and the current Chairman of the Board. On the other hand, some of this evolution is in a far more frightening direction. Over the past two decades, we have expanded our technology s olutions . Ubs Securities LLC is a Texas Foreign Limited-Liability Company (Llc) filed On June 29, 1998. William F. Cruger Jr.,Director. 7:00 AM: UBS Board of Directors Announces Chairman and Vice Chairman NominationsRead more on 'Investegate' . UBS Securities LLC ("UBS LLC") is a New York, NY-based brokerage firm that is registered with the Commission. Chairman of the Board of Directors of UBS Asset Management AG; . 2011 - 2014. Head Credit Risk Management, Corporate . . Board of Directors - Mutual of America Life Insurance Company. The UBS BB Board of Directors will also include two executives from UBS and two executives from Banco do Brasil. Boards are the best place to save images and video clips. Luo Qiang, another board member at UBS Securities LLC, also served on the board of UBS Beijing between 2004 and 2012. OCC Board of Directors; OCC Executives; Media Contacts; Newsroom; Member Directory; Becoming a Clearing Member; Member Services; Schedule of Fees; Investor Education . Securities offered by Mutual of America Securities LLC . President, Auffenberg Dealer Group of Illinois. Prior to serving at Leerink Swann LLC, Mr. Ogens was Chairman and Co-Founder of SCS Financial Services . Member of the Board of UBS Americas Holding LLC; 73,000 employees working in the Americas, 30% in Switzerland, 19% in Europe (excluding . Series 7, 55, 63 Account Manager . The Maybank Defendants began buying Fortress . Chairman and CEO (Retired) UBS Bank USA. Summary. SIFMA's Board of Directors manages the business and affairs of the Association. Principal Executive Office: 520 Madison Avenue, New York, NY 10022. UBS SECURITIES LLC Section Title Report Summary Firm History CRD# 7654 1 10 Firm Profile 2 - 9 . UBS Securities, a division of UBS AG, is a global investment banking firm and wealth manager. Two co-founders of Staple Street Capital, Stephen Owens and Hootan Yaghoobzadeh, also worked at Carlyle Group. 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. Three of the four members on the Bloomberg profile page for UBS Securities LLC were Chinese nationals as of Dec. 4, according . Please note that any opinions, estimates or forecasts regarding SolarEdge Technologies, Inc.'s performance made by these analysts are theirs alone and do not . 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. Weinstein joined the board of directors of New Mountain Finance Corporation in August 2012. Member of the Board of Treliant LLC; 520 Madison Avenue. Search. Mr. 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 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 . Franklin W. Hobbs. Create new Board. 2003 - 2010. 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. Previously, Mr. Kearney served as supervisory director from November . 4693, 4694. Webber Research & Advisory LLC. 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 . (USA) LLC and UBS Securities, LLC (jointly, "International Placement Agents"), according to Underwriting and Placement Facilitation Agreement, to be entered into between the . Collect, curate and comment on your files. Chief Credit Officer, Global Private and Corporate Banking, Credit Suisse. Date, Time and Place: . The new board members will continue in their current roles with UBS and Banco do Brasil: . 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. Nos. While it appears three of the four board members of that subsidiary's board are Chinese and could represent Chinese investors, shareholder information is . All Board members have the authority to represent the views of their firms and are elected on a staggered basis by the SIFMA membership .