Erik Holton-UBS Financial Services Inc, 265 Church St, New Haven, CT 06510, US

UBS Financial Services is a registered broker and dealer that provides wealth management solutions in the United States. It offers securities, trading, brokerage and related products and services. The company s home office in the United States is located in New York. UBS Financial Services is a part of UBS, which was formed in 1998 with the merger of Union Bank of Switzerland and Swiss Bank Corporation. UBS specializes in wealth management businesses, global investment, key assets, and is one of the leaders in Swiss corporate and individual client banking. It provides a range of wealth management services, such as asset management, estate planning, corporate finance and art banking services. Its client base includes financial institutions, advisors, central banks, charitable foundations and individual investors. Additionally, the company offers underwriting, advisory, brokerage and market making services. UBS has a staff of more than 75,000 employees worldwide. UBS Financial Services maintains one of its locations in New Haven, Conn.

Alan G Schwartz Attorney

Shipman & Goodwin LLP

Gallier Greg J

Marcus & Millichap