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UBS OCONNOR LLC

CHICAGO, IL · CRD 108754 · IAPD ↗ · ubs.com · 312-525-6000

$13.77BRegulatory AUM
58Advisory reps
74Employees
0Clients
0Planning clients
13Private funds
5States
64Disclosures
fundSegment
ApprovedSEC status

Filing changes

50
May 2024 — UBS OCONNOR LLC (CHICAGO, IL) left the SEC roster (was $13.77B RAUM, 58 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
40
April 2024 — UBS OCONNOR LLC's Item 11 disclosure-reporting entries rose by 6 (58 -> 64).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.