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
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06-16-2022
Melissa Little
Compliance Associate