Futures Commission Merchant (FCM) Information for UBS Securities LLC.
The risk of loss in trading futures and options on futures contracts can be substantial. You should therefore, read and under the following risk disclosure statement and firm disclosure document, and carefully consider whether such trading is suitable for you in light of your circumstances and financial resources.
Financial Information of the Firm
The following financial information concerning UBS Securities LLC is being provided, as required by CFTC Regulation §1.55, and is intended to assist current and prospective customers in determining whether to utilize the FCM execution and clearing services offered by the firm. Please contact your UBS Securities LLC Representative should you have any questions regarding the below materials.
The Statement of Segregation Requirements and Funds in Segregation for Customer Trading on U.S. Exchanges, and the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers.
Financial information for UBS Securities LLC., including how the firm invests and holds customer funds, may be obtained from the National Futures Association (NFA) at the following webpage NFA.
Additional financial information on all registered FCMs is available from the U.S. Commodity Futures Trading Commission (CFTC) at the following webpage CFTC.
The products, services, information and/or materials contained within these web pages may not be available for residents of certain jurisdictions. Please consult the sales restrictions relating to the products or services in question for further information. Activities with respect to US securities are conducted through UBS Securities LLC, a US broker dealer. Member of SIPC.
For information as to which entity provides the services in each jurisdiction, click here.
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