# EDGAR Filing Document

**Accession Number:** 0001030411
**File Stem:** 0001030411-25-000007
**Filing Date:** 2025-6
**Character Count:** 15671
**Document Hash:** 335dce17cb3280f6f90c4149393244d1
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001030411-25-000007.hdr.sgml**: 20250613

**ACCESSION NUMBER**: 0001030411-25-000007

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250612

**DATE AS OF CHANGE**: 20250613

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SIEBERT WILLIAMS SHANK & CO., LLC
- **CENTRAL INDEX KEY:** 0001030411

**ORGANIZATION NAME:**
- **EIN:** 133932653
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00244
- **FILM NUMBER:** 251044732

**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001030411

**Filer CCC:** XXXXXXXX

**Contact Name:** Robert Cox

**Contact Phone:** 813-675-3600

**Contact Email:** rcox@siebertwilliams.com

**Notification Emails:** compliance@siebertwilliams.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** SIEBERT WILLIAMS SHANK & CO., LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 42568

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 13-3932653

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00279-00

- **Municipal Advisor:** SEC File No: 867-00244

- **Broker-Dealer:** SEC File No: 008-49877, CRD No: 42568

- **Other:** Description: FINRA, ID: 42568

**Additional Registrations:**

- **MSRB:** A5074

**E. Principal Office and Place of Business:** 100 Wall Street, 18th Floor, New York, NY, 10005

**Telephone Number:** 212-830-4559

**Additional Offices of Employment:**

- **Office #1 (Add):** 150 W. Jefferson Street, Suite 1350, Detroit, MI, 48226 | Phone: 313-496-4500

- **Office #2 (Add):** 1901 Harrison Street, Suite 1400, Oakland, CA, 94612 | Phone: 510-645-2245

- **Office #3 (Add):** 625 N, Michigan Avenue, Suite 2350, Chicago, IL, 60611 | Phone: 312-759-0400

- **Office #4 (Add):** 520 Post Oak Blvd., Suite 830, Houston, TX, 77027 | Phone: 713-222-1585

- **Office #5 (Add):** 1025 Connecticut Avenue, NW, Suite 509, Washington, DC, 20036 | Phone: 202-872-8050

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.siebertwilliams.com

**G. Chief Compliance Officer (CCO):**

**Name:** DiAnne NMN Calabrisotto

**Address:** 100 Wall Street, 18th Floor, na, New York, NY, 10005

**Phone Number:** 212-830-4559

**Email:** dcalabrisotto@siebertwilliams.com

**H. Business Affiliates:**

- **Name:** SWS Capital Management, LLC

- **Name:** Clear Vision Impact Fund GP

- **Name:** Social Equity Impact Ventures GP I, LLC

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** DE

**D. Date of Organization:** 03-10-1997

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 141

**B. Municipal Advisory Activities - Employees:** 17

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 17

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 2

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice ME Investments, Advice Use Of MD, Advice On Selection, Brokerage Of MEI

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer

**Total Associated Persons:** 17

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                           | Title/Status                                       | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Shank Williams Cisneros, LLC   | Owner                                              | 11-20-2014      | E - 75% or more           | No                | 47-2745941   |  |
| Suzanne Frances Shank-Werdlow  | President & CEO, Director of Parent                | 03-10-1997      | C - 25% but less than 50% | Yes               |  | 1860931      |
| William Colridge Thompson, Jr. | Owner, Chief Admistrative Officer                  | 11-09-2015      | A - 5% but less than 10%  | No                |  | 2316101      |
| DiAnne NMN Calabrisotto        | Chief Operating Officer & Chief Compliance Officer | 11-04-2019      | NA - less than 5%         | No                |  | 1273900      |
| Ateesh Singh Chanda            | Chief Legal Officer                                | 11-04-2019      | NA - less than 5%         | No                |  | 6973151      |
| Daniel NMN Diaz                | Financial Principal                                | 05-20-2002      | NA - less than 5%         | No                |  | 2214417      |

### Schedule B: Indirect Owners

| Owning Entity                | Name                          | Title/Status   | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Shank Williams Cisneros, LLC | Shank Capital Group, LLC      | Owner          | 03-11-2021      | C - 25% but less than 50% | Yes               |  |
| Shank Capital Group, LLC     | Suzanne Frances Shank-Werdlow | Owner          | 11-09-2014      | E - 75% or more           | Yes               |  |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                | Name                           | Title/Status                                       | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Shank Williams Cisneros, LLC   | Owner                                              | 11-20-2014      | E - 75% or more           | No                | 47-2745941   |  |
|  | Indirect    | Shank Williams Cisneros, LLC | Shank Capital Group, LLC       | Owner                                              | 03-11-2021      | C - 25% but less than 50% | Yes               |  |  |
|  | Direct      |  | Suzanne Frances Shank-Werdlow  | President & CEO, Director of Parent                | 03-10-1997      | C - 25% but less than 50% | Yes               |  | 1860931      |
|  | Direct      |  | William Colridge Thompson, Jr. | Owner, Chief Admistrative Officer                  | 11-09-2015      | A - 5% but less than 10%  | No                |  | 2316101      |
|  | Direct      |  | DiAnne NMN Calabrisotto        | Chief Operating Officer & Chief Compliance Officer | 11-04-2019      | NA - less than 5%         | No                |  | 1273900      |
|  | Direct      |  | Ateesh Singh Chanda            | Chief Legal Officer                                | 11-04-2019      | NA - less than 5%         | No                |  | 6973151      |
|  | Direct      |  | Daniel NMN Diaz                | Financial Principal                                | 05-20-2002      | NA - less than 5%         | No                |  | 2214417      |
|  | Indirect    | Shank Capital Group, LLC     | Suzanne Frances Shank-Werdlow  | Owner                                              | 11-09-2014      | E - 75% or more           | Yes               |  | 1860931      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Siebert Brandford Shank & Co.

- **CRD Number:** 42568

- **Disclosure Number:** 1383139

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Siebert Brandford Shank & Co.

- **CRD Number:** 42568

- **Disclosure Number:** 1093664

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Siebert Brandford Shank & Co., L.L.C.

- **CRD Number:** 42568

- **Disclosure Number:** 1787359

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Siebert Williams Shank & Co., LLC

- **CRD Number:** 42568

- **Disclosure Number:** 2040105

### Execution Page

**Signature:** Robert Cox

**Signer Name:** Robert Cox

**Title:** Deputy Compliance Officer

**Date:** 06-12-2025

**CRD Number:** 42568