Alberti Brokerage

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 Princeton, N.J.

The Depository Trust Company, a member of the United States Federal Reserve System, is a limited-purpose trust company under New York State banking law. It is a registered clearing agency with the Securities and Exchange Commission. The company retains custody of approximately 2 million securities issues, which it dematerializes so that they exist only as electronic files to bring efficiency to the securities industry. It also provides the services necessary for the maintenance of the securities it has in custody. Services offered include settlement services, asset services and global tax services. The Depository Trust Company, an employer of more than 2,500, is based in New York.