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