UBS Warburg LLC (US)

UBS Warburg LLC (US)

UBS Warburg LLC (US)

Overview
Date Founded

1998

Headquarters

677 Washington Boulevard,Stamford, CT 06901-3793

Type of Company

Private

Employees (Worldwide)

21K

Industries

Investment Banking & Brokerage

Company Description

Founded in 1998, UBS Securities LLC, formerly UBS Warburg LLC (U.S.), is an investment bank and registered broker/dealer located New York City. The firm is also a registered futures commission merchant. They are a subsidiary of UBS Americas, Inc. and their ultimate parent is UBS AG (NYSE: UBS). UBS Securities is a member of the NYSE, NASD, SIPC and FINRA.UBS Securities is a primary dealer in U.S. Government securities and provides a full range of investment banking services including corporate finance, mergers and acquisitions, capital markets, trading and sales, fixed-income, equity research, private banking, underwriting and prime brokerage operations. The firm also provides advisory services and access to capital markets for corporate, institutional, intermediary and alternative asset management clients. They offer closed-end fund research, commodity research, credit research, economic research, emerging market research, equity research, fixed-income research, foreign exchange research, real estate research, technical research and thematic research.

Contact Data
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Executives & Employees

Co President

Executive Director, Commodities Structuring

Executive Director

Executive Director

Executive Director Equities

Executive Director

Executive Director

Executive Director

Executive Director

Executive Director

Board of Directors

Director & Head of US Power & Utilities at Merrill Lynch, Pierce, Fenner & Smith, Inc.

Director at UBS Warburg LLC (US)

Professional at UBS AG

Former Executive Vice President & Chief Financial Officer at Digital Turbine, Inc.

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Recent Transactions
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Rapt Therapeutics, Inc. issued USD Common Stock

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Tradeweb Markets, Inc. issued USD Common Stock

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BioNTech SE issued USD American Depositary Shares

Transaction Clients
Underwriter

Advised on New York Mortgage Trust, Inc. issued USD Common Stock

Investment Advisor

Advised on NorthStar Realty Finance Corp. purchases Griffin-American Healthcare REIT II, Inc.

Investment Advisor

Advised on BreitBurn Energy Partners LP purchases QR Energy LP

Transaction Advisors
Legal Advisor

Advised onABB Ltd. purchases ABB Motors & Mechanical, Inc.

Legal Advisor

Advised onTortoise Midstream Energy Fund, Inc. issued Common Stock

Legal Advisor

Advised onBank of America Corp. purchases MBNA Corporation

Counsel

Advised onDoubleline Income Solutions Fund issued Common Stock

Counsel

Advised onDoubleline Income Solutions Fund issued Common Stock

Counsel

Advised onZoetis, Inc. issued USD Common Stock

Advisors & Consultants
Legal Advisor

Partner at Wilson Sonsini Goodrich & Rosati PC

Legal Advisor

Partner at Wilson Sonsini Goodrich & Rosati PC

Legal Advisor

Global Co-Chair, Banking Practice at Latham & Watkins LLP

Clients

CoPERA's trust funds are invested under the direction of a board of trustees. Their investment strategy uses actuarially established asset allocation investment objectives with long-term goals and policies. Assets are diversified into domestic and international stocks, corporate, government, and international bonds, mortgages, real estate and alternative investments. The fund is long-term in nature and the selection of investments is regulated by statutory limitation, investment time horizon, the limits of acceptable risk and the objective of optimizing the total rate of return. The targeted strategic asset allocation is designed to provide an optimal diversification to reduce risk and maximize total rate of return relative to risk. Many of CoPERA's actively managed portfolios are managed by outside sub-advisors.

General Electric Pension Trust is a corporate fund investor in the United States. GE Pension Trust operates as a subsidiary of GE Asset Management Incorporated.

Key Stats and Financials As of 2019
Market Capitalization
Total Enterprise Value
Earnings Per Share
Revenue
$1.6B
Non-Profit Donations & Grants
$10K - $25K
2010
$10K - $25K
2008
$10K - $25K
2007
Political Donations
$2,500
2014
$2,500
2014
$2,500
2014
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