0001030411-23-000013.txt : 20230823 0001030411-23-000013.hdr.sgml : 20230823 20230823190923 ACCESSION NUMBER: 0001030411-23-000013 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 MA-I INDIVIDUAL: YUEN,GRACE,CHUNG-YAN, FILED AS OF DATE: 20230823 DATE AS OF CHANGE: 20230823 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SIEBERT WILLIAMS SHANK & CO., LLC CENTRAL INDEX KEY: 0001030411 IRS NUMBER: 133932653 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-02370 FILM NUMBER: 231198620 BUSINESS ADDRESS: STREET 1: 100 WALL STREET STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 212-830-4559 MAIL ADDRESS: STREET 1: 100 WALL STREET STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 FORMER COMPANY: FORMER CONFORMED NAME: SIEBERT, CISNEROS, SHANK., & CO., L.L.C. DATE OF NAME CHANGE: 20160812 FORMER COMPANY: FORMER CONFORMED NAME: SIEBERT, BRANDFORD, SHANK & CO., L.L.C. DATE OF NAME CHANGE: 20020509 FORMER COMPANY: FORMER CONFORMED NAME: SIEBERT BRANDFORD SHANK & CO LLC /BD DATE OF NAME CHANGE: 20020509 MA-I/A 1 primary_doc.xml MA-I/A 0001030411 XXXXXXXX Thomas Frain 2128304560 tfrain@siebertwilliams.com tfrain@siebertwilliams.com N 0001030411-17-000014 N Grace Chung-Yan Yuen 4573753 N 1 0001030411 SIEBERT WILLIAMS SHANK & CO., LLC 09-11-2013 N 867-00244 SUPERVISED 09-11-2013 1999 HARRISON ST, SUITE 2720 OAKLAND CA 94612 09-2013 Siebert Williams Shank & Co., LLC Los Angeles CA 90017 Y Y Senior Vice President 06-2013 09-2013 Unemployed Los Angeles CA 91011 N N Unemployed 03-2004 06-2013 Merrill Lynch Chicago IL 60661 Y Y Vice President N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 08-23-2023 Thomas Frain Deputy Compliance Officer