0001030411-22-000005.txt : 20220616 0001030411-22-000005.hdr.sgml : 20220616 20220616165517 ACCESSION NUMBER: 0001030411-22-000005 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FRAIN,THOMAS,PATRICK, FILED AS OF DATE: 20220616 DATE AS OF CHANGE: 20220616 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 SEC ACT: 1934 Act SEC FILE NUMBER: 868-02370 FILM NUMBER: 221021261 BUSINESS ADDRESS: STREET 1: 1999 HARRISON ST, SUITE 2720 CITY: OAKLAND STATE: CA ZIP: 94612 BUSINESS PHONE: 203-956-5900 MAIL ADDRESS: STREET 1: 1999 HARRISON ST, SUITE 2720 CITY: OAKLAND STATE: CA ZIP: 94612 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 1 primary_doc.xml MA-I 0001030411 XXXXXXXX Melissa Little 646-755-4853 mlittle@siebertwilliams.com compliance@siebertwilliams.com N N Thomas Patrick Frain 6374898 N 1 Siebert Williams Shank & Co., LLC 04-12-2021 N 867-00244 LOCATED 04-12-2021 100 Wall Street, 18th Floor New York NY 10005 04-2021 Siebert Williams Shank & Co., LLC New York NY 10005 Y Y Deputy Compliance Officer 09-2015 04-2021 Raymond James & Associates, Inc. St. Petersburg FL 33701 N Y Registered Associate 07-2014 09-2015 Raymond James Financials Services, Inc. St. Petersburg FL 33701 N Y Financial Advisor 04-2013 07-2014 Capital One Finance Tampa FL 33605 N N Fraud Intake Coordinator 05-2009 05-2013 Miss Vick's on the River Holiday FL 34691 N N Server 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 06-16-2022 Melissa Little Compliance Associate