SIEBERT WILLIAMS SHANK Files Annual MA-A Update, Confirms Registration

TL;DR

**SIEBERT WILLIAMS SHANK just filed its annual MA-A, confirming its SEC registration for 2025.**

AI Summary

SIEBERT WILLIAMS SHANK & CO., LLC, a municipal advisor, filed its annual MA-A update on March 24, 2026, for the period ending December 31, 2025. This routine filing confirms their continued registration with the SEC, operating from their business address at 100 Wall Street, 18th Floor, New York, NY 10005. For investors, this indicates the company is maintaining its regulatory compliance, which is crucial for a financial services firm and provides stability regarding its operational legitimacy.

Why It Matters

This filing confirms SIEBERT WILLIAMS SHANK & CO., LLC's ongoing regulatory compliance as a municipal advisor, which is fundamental for their continued operation and investor confidence.

Risk Assessment

Risk Level: low — This is a routine annual regulatory filing indicating compliance, not a disclosure of new risks.

Analyst Insight

Investors should view this as a routine compliance update, confirming the company's operational legitimacy. No immediate action is required based on this filing alone, but it reinforces the company's adherence to regulatory standards.

Key Numbers

• 2026-03-24 — Filing Date (Date the MA-A form was filed with the SEC)
• 2025-12-31 — Period of Report End Date (The fiscal year-end covered by this annual update)
• 867-00244 — File No. (SEC file number for the municipal advisor registration)

Key Players & Entities

• SIEBERT WILLIAMS SHANK & CO., LLC (company) — Filer of the MA-A form
• 100 Wall Street, 18th Floor, New York, NY 10005 (company) — Business and mailing address of the filer
• 0001030411 (company) — CIK (Central Index Key) for SIEBERT WILLIAMS SHANK & CO., LLC
• 133932653 (company) — EIN (Employer Identification Number) for the filer

FAQ

Filing Documents

• primary_doc.html (MA-A)
• primary_doc.xml (MA-A) — 40KB
• 0001030411-26-000005.txt ( ) — 41KB

Identifying Information

Item 1 Identifying Information A. Full Legal Name of the Firm (1) Firm Name: SIEBERT WILLIAMS SHANK & CO., LLC � Organization CRD No.,if any: (2) Sole Proprietor: If the applicant is a sole proprietor, check here, and provide full last name, first name, middle name, and suffix, if any: Yes No (3) Name Change: If full legal name has changed since the municipal advisor 's most recent Form MA, check here and provide the previous full legal name. Yes No � (specify) B. Doing-Business-As (DBA) Name (1) If the name under which municipal advisor-related business is primarily conducted is different from Item 1-A., check here and provide the DBA name. Yes No (2) Previous DBA Name: If name under which municipal advisor-related business is primarily conducted has changed since the municipal advisor 's most recent Form MA, check here and provide the previous name under which the municipal advisor-related business was primarily conducted. Yes No � (3) Additional Names:� (a) Is municipal advisor-related business conducted under any additional names?� Yes No (b) List any additional names on Section 1-B of Schedule D . C. (1) IRS Employer Identification Number: D. Registrations (1) Form MA-T Registration: Was the applicant previously registered on Form MA-T as a municipal advisor ? Yes No If "Yes", enter the SEC File No. MA-T: (2) Other Registrations: Is the applicant registered as or with any of the following? Check all that apply. For each registration box you checked, provide the requested file number(s). �An applicant firm should NOT provide the organization CRD number, or other specified number, of any of its organizational affiliates, or the individual CRD number of its officers, employees , or natural person affiliates. Municipal Advisor SEC File No.: Municipal Securities Dealer SEC File No.: Broker-Dealer��� SEC File No.: � Organization CRD No.: Investment Adviser SEC -Registered SEC File No.: � Organization CRD No.: Ex

Form of Organization

Item 2 Form of Organization A. Applicant's form of organization If this is not an initial application, and the applicant's form of organization has changed since the applicant's most recent Form MA, see Instruction 8 of the General Instructions. Corporation Sole Proprietorship Limited Liability Partnership (LLP) Partnership Limited Liability Company (LLC) Limited Partnership (LP) Other (specify) � B. Month of Applicant's Annual Fiscal Year End (Sole proprietors are not required to complete this subpart B.) C. State, Other US Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized If the applicant is a corporation or limited liability company, indicate the state or jurisdiction where the applicant is incorporated. If the applicant is a partnership, indicate the name of the state or jurisdiction under the laws of which the partnership was formed. If applicant is a sole proprietor, indicate the state or jurisdiction in which applicant resides. If this is not an initial application for registration, and the applicant's information has changed since the applicant's most recent Form MA, see General Instruction 8. Enter the full name of the U.S. jurisdiction, or the full name, in English, of the foreign jurisdiction: D. Date of Organization: E. Public Reporting Company (1) Is the applicant a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934? Yes No

Successions

Item 3 Successions A. Is the applicant, at the time of this filing, succeeding to the business of a registered municipal advisor ? If this succession was previously reported on Form MA, do not report the succession again. Instead, check "No." See Instruction 1 of the Specific Instructions for Form MA included in the General Instructions. Yes No If "Yes" enter the Date of Succession: B. If "Yes," in Item 3.A., complete Section 3 of Schedule D. If "Yes," in Item 3.A., complete Section 3 of Schedule D . �

Information About Applicant's Business

Item 4 Information About Applicant's Business Note: Instruction 2 of the Specific Instructions for Certain Items in Form MA included in the General Instructions provides guidance for newly formed municipal advisors completing this Item 4. Employees If the applicant is organized as a sole proprietorship, include the sole proprietor as an employee. A. Number of Employees : Approximate number of employees of applicant. Include full- and part-time employees , but do not include clerical, administrative, or support workers (or workers performing similar functions): (If none, enter a zero.): B. Municipal Advisory Activities : Approximately how many of these employees engage in municipal advisory activities ? (Include such employees even if they perform other functions in addition to engaging in municipal advisory activities.) If none, enter a zero. C. Registered Representatives (1) Approximately how many of the employees who are included in the response to part B are registered representatives of a broker-dealer? If none, enter a zero. (2) Approximately how many are investment adviser representatives? If none, enter a zero. D. Firms and Other Persons that Solicit on Behalf of the Applicant Approximately how many firms and other persons who are not employed by the applicant and who are not otherwise associated persons of the applicant solicit clients on the applicant's behalf? (If none, enter a zero. Count a firm only once; do not count each of the firm's employees that solicits on the applicant's behalf.) Please list the names of these firms and other persons on Section 4-D of Schedule D . E. Employees Also Acting as Affiliates of the Applicant (1) Does the applicant have any employees that also do business independently on the applicant's behalf as affiliates of the applicant? YES NO (2) Total number of such employees : (3) List the names of these employees on Section 4-E of Schedule D . Clients F. Types of Clients Approximately how many

Other Business Activities

Item 5 Other Business Activities A. Applicant is actively engaged in business in or as a: � Is Applicant Actively Engaged? Check all that apply. Is this Applicant's Primary Business(es)? Check all that apply. 1. Broker-dealer, municipal securities dealer or government securities broker or dealer 2. Registered representative of a broker-dealer 3. Commodity pool operator (whether registered or exempt from registration) 4. Commodity trading advisor (whether registered or exempt from registration) 5. Futures commission merchant 6. Major swap participant 7. Major security-based swap participant 8. Swap dealer 9. Security-based swap dealer 10. Trust company 11. Real estate broker, dealer, or agent 12. Insurance company, broker, or agent 13. Banking or thrift institution (including a separately identifiable department or division of a bank) 14. Investment adviser (including financial planners) 15. Attorney or law firm (Jurisdiction(s) where licensed) Jurisdiction(s) where licensed (specify) � � � 16. Accountant or accounting firm (Jurisdiction(s) where licensed) Jurisdiction(s) where licensed (specify) � � � 17. Engineer or engineering firm Jurisdiction(s) where licensed � � � 18. Other financial product advisor (specify) � � � B. Other Business (1) Is applicant actively engaged in any other business not listed in Part A of this Item (other than engaging in municipal advisory activities )? Yes No (2) If "Yes" to Part B-1. , is this other business applicant's primary business? Yes No (3) If "Yes" to Part B-2. , describe the other business on Section 5-B of Schedule D .

Financial Industry and Other Activities of Associated Persons

Item 6 Financial Industry and Other Activities of Associated Persons A. Applicant has one or more associated persons that is a: Check all that apply. "Associated Person" herein refers to a person who is an associated person of a municipal advisor . Note that "associated person" includes employees and persons with control over the municipal advisor that do not themselves engage in municipal advisory activities , but does not include employees that are performing solely clerical, administrative, support or other similar functions. Note also that more than one box may be applicable to any such associated person. For example, if an associated person is both a swap dealer and security-based swap adviser, check both boxes (4) and (5) below. (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer (2) Investment company (including mutual funds) (3) Investment adviser (including financial planners) (4) Swap dealer (5) Security-based swap dealer (6) Major swap participant (7) Major security-based swap participant (8) Commodity pool operator (whether registered or exempt from registration) (9) Commodity trading advisor (whether registered or exempt from registration) (10) Futures commission merchant (11) Banking or thrift institution (12) Trust company (13) Accountant or accounting firm (14) Attorney or law firm (15) Insurance company or agency (16) Pension consultant (17) Real estate broker or dealer (18) Sponsor or syndicator of limited partnerships (19) Engineer or engineering firm (20) Other municipal advisor Total Associated Persons : Provide the total number of such associated persons : Provide the total number of such associated persons, not the number of boxes checked. For example, if the applicant's associated persons are 2 broker-dealers, 1 investment company, and 2 pension consultants, then 3 boxes would be checked in Item 6-A.1 to 20, while the total number of such associated per

Owners, Officers and Other Control Persons

Item 8 Owners, Officers and Other Control Persons A. Identifying Owners, Officers and Other Control Persons (1) In this Item, identify every person that, directly or indirectly, controls the applicant, or that the applicant directly or indirectly controls . (a) If this is an initial application, the applicant must complete Schedule A and Schedule B. Schedule A asks for information about direct owners and executive officers. Schedule B asks for information about indirect owners. (b) If this is an amendment updating information reported on either the Schedule A or Schedule B (or both) filed with the applicant's initial application, the applicant must also complete Schedule C. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies? Yes No (3) If "Yes" to Item 8-A.2. above, complete Section 8-A of Schedule D . B. Public Reporting Companies (1) Is any person in Schedules A, B, or C, or in Section 8-A of Schedule D a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934? Yes No (2) If "Yes" to Item 8-B.1. above, complete Section 8-B of Schedule D .

Disclosure Information

Item 9 Disclosure Information In this Item, provide information about the criminal, regulatory, and judicial history, if any, of the applicant and each associated person of the applicant. This information is used to determine whether to approve an application for registration, to decide whether to revoke registration, or to place limitations on the applicant's activities as a municipal advisor, and to identify potential problem areas on which to focus during on-site examinations. One event may result in the requirement to answer "Yes" to more than one question below. Refer to the Glossary of Terms for explanations of italicized terms, such as associated person. Criminal Action Disclosure If the answer is "Yes" to any question below in Part A or B below, complete a Criminal Action DRP . Disclosure of any event listed in this Criminal Action Disclosure Section is not required if the date of the event was more than ten years ago . For purposes of calculating this ten-year period, the date of an event is the date that the final order , judgment, or decree was entered, or the date that any rights of appeal from preliminary order s, judgments, or decrees lapsed. Check all that apply. A. In the past ten years, has the applicant or

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