SIEBERT WILLIAMS SHANK Amends Municipal Advisor Registration for Richard Allen

TL;DR

**SIEBERT WILLIAMS SHANK just updated a key municipal advisor's registration, signaling ongoing regulatory compliance.**

AI Summary

SIEBERT WILLIAMS SHANK & CO., LLC filed an amended MA-I/A form on March 24, 2026, for Richard Keith Allen, a natural person, to update their municipal advisor registration. This filing, with accession number 0001030411-26-000006, indicates a routine update to an individual's registration, which is important for investors as it confirms the company's compliance with regulatory requirements for its municipal advisory services, ensuring transparency and proper oversight in its operations.

Why It Matters

This filing ensures that SIEBERT WILLIAMS SHANK & CO., LLC maintains proper regulatory compliance for its municipal advisory services, which is crucial for investor confidence in the company's operational integrity.

Risk Assessment

Risk Level: low — This is a routine administrative filing for an individual's registration, indicating compliance rather than a new risk.

Analyst Insight

Investors should view this as a routine compliance update, confirming the company's adherence to regulatory requirements for its municipal advisory services, which is a positive sign for operational stability.

Key Numbers

• 0001030411-26-000006 — SEC Accession No. (Unique identifier for this specific filing)
• 868-02370 — File No. (Specific file number for the MA-I/A registration)
• 133932653 — EIN (Employer Identification Number for SIEBERT WILLIAMS SHANK & CO., LLC)

Key Players & Entities

• SIEBERT WILLIAMS SHANK & CO., LLC (company) — Filer of the MA-I/A form
• Richard Keith Allen (person) — Natural person for whom the MA-I/A registration is filed
• 0001030411 (company) — CIK for SIEBERT WILLIAMS SHANK & CO., LLC
• 2026-03-24 (date) — Filing Date and Accepted Date of the MA-I/A

Forward-Looking Statements

• SIEBERT WILLIAMS SHANK & CO., LLC will continue to maintain updated regulatory registrations for its personnel. (SIEBERT WILLIAMS SHANK & CO., LLC) — high confidence, target: 2027-03-24

FAQ

Filing Documents

• primary_doc.html (MA-I/A)
• primary_doc.xml (MA-I/A) — 11KB
• 0001030411-26-000006.txt ( ) — 12KB

Identifying Information

Item 1 Identifying Information A. The Individual Full Legal Name: Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line. Last Name: Richard First Name: Keith Middle Name: Allen Suffix: Individual CRD No.: (if any) 3006333 B. Municipal Advisory Firms Where the Individual Is Employed In providing your responses, please note that the definition of " employee " for purposes of this form includes an independent contractor who engages in municipal advisory activities on behalf of a municipal advisory firm . See Glossary of Terms. Is the individual employed at more than one municipal advisory firm ? YES NO Enter the number of municipal advisory firms the individual is employed with (sole proprietors not employed with any other firm enter 1). (For individuals who are employed with more than one firm, provide the information required by this Item 1-B for each such firm. For sole proprietors, enter the legal name under which you conduct your municipal advisor-related activities, and skip to Item 1-B.1.) 1 Municipal Advisory Firm's CIK: Full Legal Name of municipal advisory firm with which the individual is employed:  SIEBERT WILLIAMS SHANK & CO., LLC Name under which municipal advisor-related business is primarily conducted, if different from above: Date that the individual's most recent employment with this municipal advisory firm commenced (MM/DD/YYYY): 01-04-2016 Does the individual have an independent contractor relationship with the above-named firm? YES NO (1) Municipal Advisory Firm's Registration Information: Notification will automatically be sent to the Login CIK, Submission Contact, and Primary Issuers. Specify additional addresses below. Is the municipal advisory firm currently registered on Form MA as a municipal advisor ? (Answer "Yes" if you have already filed Form MA and your application for registration on that form has been approved. Otherwise, answer "N

Other Names

Item 2 Other Names Enter the following information for all other names that the individual has used or is using, or by which the individual is known or has been known, other than the individual´s legal name, since the age of 18.  This space should include, for example, nicknames, aliases, and names used before or after marriage.

Residential History

Item 3 Residential History Starting with the current address, enter the following information for all the individual´s residential addresses for the past 5 years. Leave no gaps greater than three months between addresses. Report changes in an amendment to this form as they occur in the future. Private residential addresses will not be included in publicly available versions of this form. Current Address From: To: Street Address 1: Street Address 2: Postal Code:

Employment History

Item 4 Employment History Provide complete employment history of the individual for the past 10 years. Include the municipal advisory firm(s) entered in Item 1-B. Enter the following information for each employer. Account for all time, leaving no gaps longer than three months. Include full- and part-time employment, self-employment, military service, and homemaking. Also include statuses such as unemployed, full-time education, extended travel, or other similar statuses. Such statuses should be entered in the space provided below for "Name of Municipal Advisory Firm or Company."  Current Employer From: 01-2016 To: of Municipal Advisory Firm or Company: Name of Municipal Advisory Firm or Company: Siebert Williams Shank & Co., LLC Houston TX Postal Code: 77002 Municipal Advisor-Related Business? YES NO Investment-Related Business? YES NO Position Held: Managing Director Prior to the Above Prior employment history must be entered in reverse chronological order. Prior Address From (MM/YYYY): 05-2010 To (MM/YYYY): 01-2016 Name of Municipal Advisory Firm or Company: Morgan Stanley & Co. TX Postal Code: 77002 Municipal Advisor-Related Business? YES NO Investment-Related Business? YES NO Position Held: Vice President Prior Address From (MM/YYYY): 06-2007 To (MM/YYYY): 05-2010 Name of Municipal Advisory Firm or Company: Banc of America TX Postal Code: 77002 Municipal Advisor-Related Business? YES NO Investment-Related Business? YES NO Position Held: Vice President

Other Business

Item 5 Other Business Is the individual currently engaged in any other business either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise? YES NO If "Yes", please enter the following details for each other business below: Other Business Start Date: 09-2015 Name of Business: Child Care Council of Greater Houston Street Address 1: 6620 Westpark Street Address 2: Suite 150 TX Postal Code: 77057 Is this a municipal advisor-related business? YES NO Is this an investment-related business? YES NO Nature of Business: Child care services for the children of greater Houston, TX Position/Title/Relationship: Board Member Approximate No. of Hours/Month Devoted to This Business: 2 Description of Duties: Policymaker for child care council

Disclosure Information

Item 6 Disclosure Information IF THE ANSWER TO ANY OF THE QUESTIONS IN ITEMS 6A – 6J AND 6M IS "YES," PROVIDE DETAILS OF ALL EVENTS OR PROCEEDINGS ON THE APPROPRIATE DISCLOSURE REPORTING PAGES (DRPs). One event or proceeding may result in the requirement to answer "Yes" to more than one question below. Refer to the Glossary of Terms for definitions or descriptions of italicized terms. CRIMINAL ACTION DISCLOSURE If the answer is "Yes" to any question below in Item 6A or 6B, complete a Criminal Action DRP . Item 6A. (1) Has the individual ever: (a) been convicted of any felony , or pled guilty or nolo contendere ("no contest") to any charge of a felony in a domestic, foreign, or military court? YES NO (b) been charged with any felony ? YES NO (2) Based upon activities that occurred while the individual exercised control over it, has an organization ever: (a) been convicted of any felony or pled guilty or nolo contendere ("no contest") in a domestic or foreign court to any charge of a felony? YES NO (b) been charged with any felony? YES NO Item 6B. (1) Has the individual ever: (a) been convicted of any misdemeanor or pled guilty or nolo contendere ("no contest") in a domestic, foreign or military court to any charge of a misdemeanor involving: municipal advisory activities or a municipal advisor-related or investment-related business or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses? YES NO (b) been charged with any misdemeanor of the kind described in 6B(1)(a)? YES NO (2) Based upon activities that occurred while the individual exercised control over it, has an organization ever: (a) been convicted of any misdemeanor or pled guilty or nolo contendere ("no contest") in a domestic or foreign court to any charge of a misdemeanor of the kind specified in 6B(1)(a)? YES NO (b) been charge

Signature and Self-Certification

Item 7 Signature and Self-Certification NOTE:  In addition to completing Item 7, to the extent that the individual is a non-resident , a Form MA-NR completed and signed by the individual must be attached as an exhibit to this Form MA-I. Complete Either Subpart A or Subpart B: By typing a name in the signature field, the signatory acknowledges and represents that the entry constitutes in every way, use, or aspect, his or her legally binding signature. A. For Municipal Advisory Firms filing this form: The municipal advisory firm has obtained and retained written consent from the individual that service of any civil action brought by, or notice of any proceeding before, the SEC or any self-regulatory organization in connection with the individual's municipal advisory activities may be given by registered or certified mail to the individual's address given in Item 1. I, the undersigned, sign this Form MA-I on behalf of, and with the authority of, the municipal advisory firm that is filing this form. The municipal advisory firm and I both certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-I, including exhibits and any other information submitted, are true and correct, and that I am signing this Form MA-I as a free and voluntary act. Date: 03-24-2026 By (signature): Robert Cox Title: Deputy Compliance Officer B. For Natural Person Municipal Advisors (Sole Proprietors) filing this form: The individual named below consents that service of any civil action brought by, or notice of any proceeding before, the SEC or any self-regulatory organization in connection with the individual's municipal advisory activities may be given by registered or certified mail to the individual's address given in Item 1. I, the undersigned, certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form

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