Futures Commission Merchant (FCM) Information for UBS Financial Services Inc.

The risk of loss in trading futures and options on futures contracts can be substantial. You should, therefore, read and understand 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 Financial Services 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 Financial Advisor should you have any questions regarding the below materials. 

The Statement of Segregation Requirements and Funds in Segregation for Customers 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 Financial Services Inc., including how the firm invests and holds customer funds, may be obtained from the National Futures Association (NFA) at the following webpage.

Additional financial information on all registered FCMs is available from the U.S. Commodity Futures Trading Commission (CFTC) at the following webpage.