UBS GLOBAL ASSET MANAGEMENT (US) INC.
CRD #583 SEC #801-13219 NEW YORK, NY 212-882-5000
SEC Registered Broker-Dealer
Total AUM
$99.9M
Discretionary
$99.9M
Employees
51
Clients
--
Accounts
3
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 1, 2009
- 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 |
|---|---|---|---|---|
| ALEXANDER, MARGO NICKLE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| ALEXANDER, MARGO NICKLE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| ALEXANDER, MARGO NICKLE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| BANYAI, GERALDINE L | I | CORPORATE SECRETARY | NA | |
| BANYAI, GERALDINE L | I | CORPORATE SECRETARY | NA | |
| BANYAI, GERALDINE L | I | CORPORATE SECRETARY | NA | |
| BANYAI, GERALDINE L | I | ASSISTANT SECRETARY | NA | |
| BANYAI, GERALDINE LEPERA | I | ASSISTANT SECRETARY | NA | |
| BANYAI, GERALDINE LEPERA | I | ASSISTANT SECRETARY | NA | |
| BANYAI, GERALDINE LEPERA | I | ASSISTANT SECRETARY | NA | |
| CHAMBERS, TREVOR CROSBY | I | FINANCIAL CONTROLLER | NA | Control |
| CHAMBERS, TREVOR CROSBY | I | FINANCIAL CONTROLLER | NA | Control |
| CHAMBERS, TREVOR CROSBY | I | FINANCIAL CONTROLLER | NA | Control |
| CHAMBERS, TREVOR CROSBY | I | FINANCIAL CONTROLLER | NA | Control |
| CHAMBERS, TREVOR CROSBY | I | FINANCIAL CONTROLLER | NA | Control |
| CHAMBERS, TREVOR CROSBY | I | FINANCIAL CONTROLLER | NA | Control |
| CHAMBERS, TREVOR CROSBY | I | FINANCIAL CONTROLLER | NA | Control |
| CUTLER, LAWRENCE DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| CUTLER, LAWRENCE DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| CUTLER, LAWRENCE DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| CUTLER, LAWRENCE DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| DOBERMAN, AMY ROSE | I | CHIEF LEGAL OFFICER | NA | Control |
| DOBERMAN, AMY ROSE | I | CHIEF LEGAL OFFICER | NA | Control |
| DOBERMAN, AMY ROSE | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| DOBERMAN, AMY ROSE | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| DOBERMAN, AMY ROSE | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | Control |
| DOBERMAN, AMY, ROSE | I | CHIEF LEGAL OFFICER | NA | Control |
| KEMPER, MARK FREDERICK | I | SECRETARY AND CHIEF LEGAL COUNSEL | NA | |
| KEMPER, MARK FREDERICK | I | SECRETARY AND CHIEF LEGAL COUNSEL | NA | |
| KEMPER, MARK FREDERICK | I | SECRETARY AND CHIEF LEGAL COUNSEL | NA | |
| KEMPER, MARK FREDERICK | I | SECRETARY AND CHIEF LEGAL COUNSEL | NA | |
| KEMPER, MARK FREDERICK | I | SECRETARY AND CHIEF LEGAL COUNSEL | NA | |
| KEMPER, MARK FREDERICK | I | SECRETARY AND CHIEF LEGAL COUNSEL | NA | |
| KEMPER, MARK FREDERICK | I | SECRETARY AND CHIEF LEGAL COUNSEL | NA | |
| KEMPER, MARK FREDERICK | I | SECRETARY AND CHIEF LEGAL COUNSEL | NA | |
| KEMPER, MARK FREDERICK | I | SECRETARY AND CHIEF LEGAL COUNSEL | NA | |
| LENHARDT, BENJAMIN FRANKLIN JR | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| MANDINACH, BARRY MITCHELL | I | PRESIDENT AND CEO | NA | Control |
| MANDINACH, BARRY MITCHELL | I | PRESIDENT AND CEO | NA | Control |
| MANDINACH, BARRY MITCHELL | I | PRESIDENT AND CEO | NA | Control |
| MANDINACH, BARRY MITCHELL | I | PRESIDENT AND CEO | NA | Control |
| MANDINACH, BARRY MITCHELL | I | PRESIDENT AND CEO | NA | Control |
| MANDINACH, BARRY MITCHELL | I | PRESIDENT AND CEO | NA | Control |
| MANDINACH, BARRY MITCHELL | I | PRESIDENT AND CEO | NA | Control |
| MANDINACH, BARRY MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY MITCHELL | I | PRESIDENT AND CEO | NA | Control |
| MCGILL, JOSEPH MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGILL, JOSEPH MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGILL, JOSEPH MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGILL, JOSEPH MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGILL, JOSEPH MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGILL, JOSEPH MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGILL, JOSEPH MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGILL, JOSEPH MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGILL, JOSEPH MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGILL, JOSEPH MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGILL, JOSEPH MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOORE, JOHN CYRIL | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| RUCCI, MICHAEL | I | HEAD OF OPERATIONS | NA | Control |
| RUCCI, MICHAEL | I | HEAD OF OPERATIONS | NA | Control |
| SLUYTERS, JULIAN FERNAND | I | CHIEF OPERATIONS OFFICER/CAO/DIRECTOR | NA | Control |
| SLUYTERS, JULIAN FERNAND | I | CHIEF OPERATIONS OFFICER/CAO/DIRECTOR | NA | Control |
| SLUYTERS, JULIAN FERNAND | I | CHIEF OPERATIONS OFFICER/CAO/DIRECTOR | NA | Control |
| SOTORP, KAI REINER | I | PRESIDENT AND DIRECTOR | NA | Control |
| SOTORP, KAI REINER | I | PRESIDENT AND DIRECTOR | NA | Control |
| STERLING, MICHAEL, JOSEPH | I | HEAD OF OPERATIONS | NA | Control |
| STERLING, MICHAEL, JOSEPH | I | HEAD OF OPERATIONS | NA | Control |
| STERLING, MICHAEL, JOSEPH | I | HEAD OF OPERATIONS | NA | Control |
| STERLING, MICHAEL, JOSEPH | I | HEAD OF OPERATIONS | NA | Control |
| STERLING, MICHAEL, JOSEPH | I | HEAD OF OPERATIONS | NA | Control |
| STORMS, BRIAN MARSHALL | I | PRESIDENT, CEO, CHIEF OPERATING OFFICER (COO) AND DIRECTOR | NA | Control |
| STORMS, BRIAN MARSHALL | I | PRESIDENT, CEO, CHIEF OPERATING OFFICER (COO) AND DIRECTOR | NA | Control |
| STORMS, BRIAN MARSHALL | I | PRESIDENT, CEO, CHIEF OPERATING OFFICER (COO) AND DIRECTOR | NA | Control |
| STORMS, BRIAN MARSHALL | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| STORMS, BRIAN MARSHALL | I | PRESIDENT AND CHIEF OPERATION OFFICER | NA | Control |
| VARNAS, JOSEPH ANTHONY | I | HEAD OF TECHNOLOGY, PRODUCT AND OPERATIONS | NA | Control |
| VARNAS, JOSEPH ANTHONY | I | HEAD OF TECHNOLOGY, PRODUCT AND OPERATIONS | NA | Control |
| VARNAS, JOSEPH ANTHONY | I | HEAD OF TECHNOLOGY, PRODUCT AND OPERATIONS | NA | Control |
| VARNAS, JOSEPH ANTHONY | I | HEAD OF TECHNOLOGY, PRODUCT AND OPERATIONS | NA | Control |
| WOLFANGEL, ROBERT PETER JR | I | CFO | NA | Control |
| WOLFANGEL, ROBERT PETER JR | I | CFO | NA | Control |
| WOLFANGEL, ROBERT PETER JR | I | CFO | NA | Control |
| WOLFANGEL, ROBERT PETER JR | I | TREASURER, CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| WOLFANGEL, ROBERT PETER JR | I | TREASURER, CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| WOLFANGEL, ROBERT PETER JR | I | TREASURER, CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| WOLFANGEL, ROBERT PETER JR | I | TREASURER, CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
| UBS AMERICAS INC. | DE | DIRECT OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
| UBS AG | FE | UBS AMERICAS INC. | E | Control |
Registrations
Federal
IA
Apr 1, 2009 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 STREET16TH FLOOR
NEW YORK, NY 10019-6114
United States
Phone: 212-882-5000