UBS Financial Services Inc. 

NY

  SEC # 1161787

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98  SEC Filings   from  11/9/01  to  2/7/24  (2 Months Ago)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘13F-NT’ — Quarterly Holdings Notice by a Money Manager — Form 13F — for 12/31/23 — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  UBS Financial Services Inc.

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Forms , Documents & Exhibits  in  96 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
2/7/24			13F-NT		Ownership:		Quarterly Holdings Notices by Money Managers — Form 13F — Assets Under Management	76
11/30/16	OLD		40-206A		Registration:		Applications for Exemptions by Investment Advisors  OLD	2
1/31/13	OLD		40-APP		Registration:		Applications for Exemption Orders and Other Relief by Investment Companies  OLD	11
6/7/11	OLD		APP ORDR		SEC:		Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders  OLD	2
5/17/11	OLD		APP NTC		SEC:		Application for an SEC Exemption Order – ‘40-APP’ SEC Notice  OLD	1
5/10/11	OLD		NO ACT		SEC:		SEC No-Action Letter re: a Shareholder Proposal  OLD	1
1/30/07	OLD		REGDEX		Registration:		Notice of an Exempt Offering of Securities — Form D  OLD	1
1/9/02	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	3
					General Exhibits:
11/9/01	OLD		EX-1		Underwriting Agreement or Conflict Minerals Report  (or mislabeled “1st Exhibit”)  OLD			1
					Graphics:
1/31/13	OLD		GRAPHIC		Photos, Images and Graphs  OLD			87

History as a Money Manager:  Assets Under Management  ·  Related Money Managers

As Of			Quarter (Ended)		Holdings Form 13F				Assets (Millions)		Reporting Manager Manager with whom Investment Discretion is Shared
2/9/24			12/31/23		5,893	of	18,527		$175,961,464			UBS Group AG
11/12/14			9/30/14		5,470	of	15,317		$70,536			UBS AG

No Forms  nor  Documents  Filed re:  Issuer / Subject Company

        

        

Filings History

Year		# of Filings
2024		1
2023		4
2022		4
2021		4
2020		4
2019		4
2018		4
2017		6
2016		5
2015		4
2014		4
2013		5
2012		5
2011		9
2010		6
2009		7
2008		5
2007		5
2006		4
2005		2
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2003		3
2002		1
2001		2