UBS GLOBAL ASSET MANAGEMENT (NEW YORK) INC.
CRD #106836 SEC #801-8957 NEW YORK, NY (212)335-1000
SEC Registered
Total AUM
$21.7B
Discretionary
$14.8B
Employees
51
Clients
0
Accounts
257
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 15, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALGER, BARBARA, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALGER, BARBARA, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALGER, BARBARA, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | |
| BEMKO, LARYSA, MARIA | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| BEMKO, LARYSA, MARIA | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| BEMKO, LARYSA, MARIA | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| BEMKO, LARYSA, MARIA | I | VICE PRESIDENT | NA | Control |
| BEMKO, LARYSA, MARIA | I | VICE PRESIDENT | NA | Control |
| BEMKO, LARYSA, MARIA | I | VICE PRESIDENT | NA | Control |
| DIERMEIER, JEFFREY, JAMES | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DIERMEIER, JEFFREY, JAMES | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DIERMEIER, JEFFREY, JAMES | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DIERMEIER, JEFFREY, JAMES | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DIERMEIER, JEFFREY, JAMES | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DIERMEIER, JEFFREY, JAMES | I | CHIEF INVESTMENT OFFICER | NA | Control |
| KEMPER, MARK, FREDERICK | I | SECRETARY & LEGAL ADVISER | NA | Control |
| KEMPER, MARK, FREDERICK | I | SECRETARY & LEGAL ADVISER | NA | Control |
| KEMPER, MARK, FREDERICK | I | SECRETARY & LEGAL ADVISER | NA | Control |
| KEMPER, MARK, FREDERICK | I | SECRETARY & LEGAL ADVISER | NA | Control |
| KEMPER, MARK, FREDERICK | I | SECRETARY & LEGAL ADVISER | NA | Control |
| KEMPER, MARK, FREDERICK | I | SECRETARY & LEGAL ADVISER | NA | Control |
| LENHARDT, BENJAMIN, FRANKLIN | I | CHAIRMAN & CEO | NA | Control |
| LENHARDT, BENJAMIN, FRANKLIN | I | CHAIRMAN & CEO | NA | Control |
| LENHARDT, BENJAMIN, FRANKLIN | I | CHAIRMAN & CEO | NA | Control |
| LENHARDT, BENJAMIN, FRANKLIN | I | CHAIRMAN & CHIEF EXECUTIVE OFFICER | NA | Control |
| LENHARDT, BENJAMIN, FRANKLIN | I | CHAIRMAN & CHIEF EXECUTIVE OFFICER | NA | Control |
| LENHARDT, BENJAMIN, FRANKLIN | I | CHAIRMAN & CHIEF EXECUTIVE OFFICER | NA | Control |
| MERTZ, PETER | I | MANAGING DIRECTOR | NA | Control |
| MERTZ, PETER | I | MANAGING DIRECTOR | NA | Control |
| MERTZ, PETER | I | MANAGING DIRECTOR | NA | Control |
| MERTZ, PETER | I | VICE PRESIDENT | NA | Control |
| MERTZ, PETER | I | VICE PRESIDENT | NA | Control |
| MERTZ, PETER | I | VICE PRESIDENT | NA | Control |
| RASSAS, NICHOLAS, CHARLES | I | VICE PRESIDENT | NA | Control |
| RASSAS, NICHOLAS, CHARLES | I | VICE PRESIDENT | NA | Control |
| RASSAS, NICHOLAS, CHARLES | I | VICE PRESIDENT | NA | Control |
| STORMS, BRIAN, MARSHALL | I | PRESIDENT | NA | Control |
| STORMS, BRIAN, MARSHALL | I | PRESIDENT | NA | Control |
| STORMS, BRIAN, MARSHALL | I | PRESIDENT | NA | Control |
| STORMS, BRIAN, MARSHALL | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| STORMS, BRIAN, MARSHALL | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| STORMS, BRIAN, MARSHALL | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| THORNBROUGH, WAYNE, DOLE | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| THORNBROUGH, WAYNE, DOLE | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| THORNBROUGH, WAYNE, DOLE | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| THORNBROUGH, WAYNE, DOLE | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| THORNBROUGH, WAYNE, DOLE | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| THORNBROUGH, WAYNE, DOLE | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| UBS (USA) INC. | DE | HOLDING COMPANY | E | |
| UBS (USA) INC. | DE | HOLDING COMPANY | E | |
| UBS (USA) INC. | DE | HOLDING COMPANY | E | |
| UBS (USA) INC. | DE | HOLDING COMPANY | E | |
| UBS (USA) INC. | DE | HOLDING COMPANY | E | |
| UBS (USA) INC. | DE | HOLDING COMPANY | E |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS (USA), INC. - HOLDING COMPANY | E | |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS (USA), INC. - HOLDING COMPANY | E | |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS (USA), INC. - HOLDING COMPANY | E | |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS (USA), INC. - HOLDING COMPANY | E | |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS (USA), INC. - HOLDING COMPANY | E | |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS (USA), INC. - HOLDING COMPANY | E | Control |
Registrations
Federal
IA
Apr 15, 2002 REGISTERED
Notice Filings (51)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
51 WEST 52ND STREETNEW YORK, NY 10019-6114
USA
Phone: (212)335-1000