To list your new directors, make edits, additions or deletions, please contact Barbara Wenger at bwenger . UBS Securities LLC : Form 8.5 (EPT/NON-RI) - Firstgroup Plc. Fiscal Council member at Ativos and at Brasilprev (alternate position) and Board member at BB Securities LLC. Prior to forming Ladder, Mr. Harris served as a Senior Partner and Head of Global Commercial Real Estate at Dillon Read Capital Management, a wholly owned subsidiary of UBS, and previously as Head of Global Commercial Real Estate at UBS and a Member of the Board of UBS Investment Bank, as well as Head of Commercial Mortgage Trading at Credit Suisse. directors or promoters in response to Item 3 above. Bahamas Financial Services Board Montague Sterling Centre East Bay Street P.O. Managing Director Senior Managing Director . The UBS BB Board of Directors will also include two executives from UBS and two executives from Banco do Brasil. PennantPark Investment Corporation (the "Company") (NYSE: PNNT) announced today the appointment of Mr. José A. Briones, Jr. to the Company's Board of Directors, effective May 3, 2022. Disclosure Events The company's filing status is listed as In Existence and its File Number is 0703845523. At the start of his career, Mr. Auffenberg began working with his father at Auffenberg Ford and is still . OR. 2002 - 2003. Your feedback is important to us! Ubs Securities LLC is a Texas Foreign Limited-Liability Company (Llc) filed On June 29, 1998. UBS SECURITIES LLC Section Title Report Summary Firm History CRD# 7654 1 10 Firm Profile 2 - 9 . The Board of Directors (BoD) of UBS Group AG, under the leadership of the Chairman, consists of six to 12 members as per our Articles of Association. Adamany has been a director on the parent board, Jefferies Financial Group Inc. since 2014, and the Jefferies Group LLC board since 2018. 73,000 employees working in the Americas, 30% in Switzerland, 19% in Europe (excluding . Member of the Board of UBS Americas Holding LLC; Paul H. McDowell. Prior to 2001, Mr. Brandi was a Managing Director at Dillon, Read & Co. Inc. and later its successor firm, UBS Warburg, concentrating on transactions in the energy and consumer goods areas. . Prior to founding Redan Advisors LLC, Mr. Bartels was a senior investment professional with 20 years of experience. Chairman and CEO (Retired) UBS Bank USA New York, New York Vice Chair (Retired) UBS Wealth Management Americas New York, New York. From 2009 until 2012, Chris served as Managing Partner and Chief Financial Officer of U.S. Capital Advisors LLC, an independent financial advisory firm that he co-founded. OCC Board of Directors; OCC Executives; Media Contacts; Newsroom; Member Directory; Becoming a Clearing Member; Member Services; Schedule of Fees; Investor Education . Global Head Equities, UBS. James (Jamie) Auffenberg, Jr. is an expert in the automobile industry with over 33 years of experience in the field. Summary. Brian Harris Founder & Chief Executive Officer . Rosemary T. Berkery. Securities offered by Mutual of America Securities LLC . Mr. Kaye is the founder of Kayezen, LLC (formerly ARQ^EX Fitness Systems), a physical therapy and fitness equipment design company. Prior to UBS, she was . He joined the Lite-On Group in 1983 and has served in positions of increasing responsibility . UBS Securities LLC provides client focused advisory, capital markets and financing solutions and providing access to primary and secondary Ms. Josephs currently serves as a member of the Board of Directors of iStar Inc., where she is Lead Director, Chair of the nominating and . Board of Directors. No, that's not accurate: A Swiss investment bank's New York subsidiary, UBS Securities LLC, in October bought $400 million in shares Dominion's parent company, Staple Street Capital LLC. . Of these, 10 are representatives of clearing agency participants, including international broker/dealers, custodian and clearing banks, and investment institutions; one Director is designated by DTCC's preferred shareholder, NYSE Euronext; three Directors are representatives of non-clearing agency participants; and the remaining board . Director UBS Securities LLC Jul 2018 - Present 3 years 8 months. 2011 - 2014. President, Auffenberg Dealer Group of Illinois. Luo Qiang, another board member at UBS Securities LLC, also served on the board of UBS Beijing between 2004 and 2012. Chief Credit Officer, Global Private and Corporate Banking, Credit Suisse. Prior to founding Kayezen, LLC, Mr. Kaye served as a Vice Chairman and Managing Director of UBS Investment Bank, and a member of the division's Global Operating and U.S. Executive Committees, from June 2001 to May 2012. As of December 2020, UBS is present in all major financial centres worldwide, having offices in 50 countries, with about 30% of its approx. Kennard has served on the AT&T Board of Directors since 2014. Director of Ally since May 2009 and the current Chairman of the Board. One of them, Ye Xiang, also served on board of the other subsidiary, UBS Securities Co. Ltd (based in Beijing). UBS Securities LLC ("UBS LLC") is a New York, NY-based brokerage firm that is registered with the Commission. Checks should be made payable to: South Florida Bond Traders Association, Inc. Post Office Box 1051. SolarEdge Technologies, Inc. is followed by the analysts listed above. Select from premium Ubs Securities Llc of the highest quality. CREATIVE. Entire IR Site Documents Press Releases. 1 Toronto Street, Suite 905 Toronto, Ontario M5C 2V6. Direct ownership of UBS Securities LLC is shared by Americas Holding, 1%, and UBS Americas Inc., 99%. Previously Mr. Cruger held a number of senior positions at J.P . Mr. Pasquesi is the Managing Member of Otter Capital LLC, a private equity investment firm he founded in January 2001. On the other hand, some of this evolution is in a far more frightening direction. 297. UBS Securities, a division of UBS AG, is a global investment banking firm and wealth manager. What Is OCC? 73,000 employees working in the Americas, 30% in Switzerland, 19% in Europe (excluding . He was most recently Vice Chairman of Investment Banking at J.P. Morgan and Co. where he was responsible for key client relationships on a global basis. (USA) LLC and UBS Securities, LLC (jointly, "International Placement Agents"), according to Underwriting and Placement Facilitation Agreement, to be entered into between the . Mr. Lassalvia was Executive . He was Officer at Bescval-BESC Distribuidora de Títulos e Valores Mobiliários S.A. until 2020. Member of the Board of Treliant LLC; Principal Executive Office. UBS Securities LLC UBS Securities LLC is a Delaware limited liability company. Collect, curate and comment on your files. Mr. Arnold was a Managing Director at UBS Securities in their Energy Group serving as the Head of Oil Field Services. 7:00 AM: UBS Board of Directors Announces Chairman and Vice Chairman NominationsRead more on 'Investegate' . Chairman, President and Chief Executive Officer Mutual of America New York, New York. In his past career Mr. Isaacs held the position of Senior Partner at Gagnon Securities LLC, Partner at Tekla Capital Management LLC, Managing . Vice Chair (Retired) UBS Wealth Management Americas. Tel: (416) 504-1118 Fax: (416) 504-1117 info@pmac.org Mr. Kearney has over 25 years of upstream energy executive and board experience, principally in the oil services sector. Series 7, 55, 63 Account Manager . John M. Pasquesi. Collections; . Visit the SEC's Investment Adviser Public Disclosure website for more information on this individual. EquiLend Holdings LLC was formed in 2001, and the platform went live in 2002. A claim stating China invested $400 million in Dominion Voting Systems is FALSE, based on our research. Dues are $100.00 per member per year. EXECUTIVE DIRECTOR-CORPORATE LEGAL AND GOVERNANCE Less than 5% Individual 04/2014 2433007 . The company's filing status is listed as In Existence and its File Number is 0703845523. Filings with the U.S. Securities and Exchange Committee (SEC) showed that the UBS Securities LLC invested $400 million in Staple Street Capital III, L.P. and another $400 million in Staple Street . Alain is also a member of the Board of UBS Securities Canada Inc. Managing Director Managing Director . Two co-founders of Staple Street Capital, Stephen Owens and Hootan Yaghoobzadeh, also worked at Carlyle Group. LIONTREE ADVISORS LLC 745 Fifth Avenue 15th Floor New York, NY 10151 CRD# 164399 Registered with this firm since: 10/05/2012 B Report Summary for this Broker This report summary provides an overview of the broker's professional background and conduct. The Registered Agent on file for this company is Corporation Service Company Dba Csc - Lawyers Incorporating Service Company and is located at 701 Brazos Street, Suite 1050, Austin, TX 78701. Download membership application / renewal form. Prior to serving at Leerink Swann LLC, Mr. Ogens was Chairman and Co-Founder of SCS Financial Services . He is a member of the Board of Directors of UBS BB, Banco Patagonia and Securities London and New York, a member of the Advisory Board of Previ Futuro and a member of the Supervisory Board of Ativos and Brasilprev (alternate). The BoD decides on the strategy of the Group upon recommendation of the Group Chief Executive Officer (Group CEO) and is responsible for the overall direction, supervision and control of the Group . Wells Fargo. He previously served as VEREIT's Co Head, Real Estate from January 2015 to September 2015 and VEREIT's President . From November 2017 to September 2019, he was Lead Director. NEW YORK, NY 10019 UNITED STATES. Chairman and CEO (Retired) UBS Bank USA. Professional experience. The Board of Directors of UBS Group AG has five Board committees, read more about its members and responsibilities. 2008 - 2010. . Mr . HealthSouth Corporation announced today that the Company and derivative stockholder plaintiffs have reached an agreement in principle with UBS Securities, LLC and UBS AG, Stamford Branch (together, "UBS"), as well as UBS's insurance carriers, to settle litigation filed by the derivative plaintiffs on the Company's behalf, captioned Tucker v. . The payer of the $400 million was UBS Securities LLC, which is a subsidiary of Swiss investment bank UBS. This is UBS' New York affiliate, not the UBS Securities Co., Ltd. that is openly affiliated with the Chinese communist, and which we incorrectly cited as the purchaser. In 2000, a group of 10 global financial institutions joined together with a common goal of optimiz ing efficiency in the securities finance industry by developing a standardized and centralized global platform for trading and post-trade services. overseeing both the Institutional Securities Business and Wealth Management. MINUTES OF THE BOARD OF DIRECTORS MEETING HELD ON JANUARY 17, 2022 1. John R. Greed. Board members are either the chief executive officer of a SIFMA member firm, or a designee of such chief executive officer. UBS Securities LLC Bank of America Merrill Lynch . Go to SEC Site. The Maybank Defendants began buying Fortress . Code of Procedure, UBS Securities LLC ("UBS" or the "Firm") submits this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the . He would go on to transition to UBS in 2009, where he served as Head of The Wealth Management Advisor . Mr. McDowell serves as the Chief Executive Officer at Orion Office REIT Inc. Mr. McDowell has served as VEREIT, Inc.'s ("VEREIT") Executive Vice President and Chief Operating Officer since October 2015. Company profile page for UBS Securities LLC including stock price, company news, press releases, executives, board members, and contact information Principal Executive Office: 520 Madison Avenue, New York, NY 10022. New York, New York. Webber Research & Advisory LLC. Visit SEC Site. The new board members will continue in their current roles with UBS and Banco do Brasil: . UBS LLC is affiliated with UBS Limited and UBS AG. He currently is a member of the board of directors of Quotient Technology Inc. Mr. Reece serves on the Audit Committee and . . Amex LLC board of directors or the NYSE Regulation board of directors, each member in good . UBS SECURITIES LLC Section Title Report Summary Firm History CRD# 7654 1 10 Firm Profile 2 - 9 . Create new Board. John R. Greed. . Before that, he was Co-President and then President of Morgan Stanley Institutional Securities. from 2005 to 2009. Mr. . UBS has . Franklin W. Hobbs. The Foundation for Secure Markets. Scrushy, in the Circuit Court of Jefferson . Ubs Securities LLC is a Texas Foreign Limited-Liability Company (Llc) filed On June 29, 1998. . Order, Supreme Court, New York County (Bernard J. Search Investor Relations. Ian Isaacs occupies the position of Senior Vice President-Investment at Painewebber & Co., Inc. Mr. Isaacs is also on the board of Greenlight Capital Re Ltd. and Greenlight Reinsurance Ltd.