# EDGAR Filing Document

**Accession Number:** 0000858873
**File Stem:** 0000858873-26-000002
**Filing Date:** 2026-3
**Character Count:** 13635
**Document Hash:** 3f5342fe18b2431d6e9efe88165c1c29
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000858873-26-000002.hdr.sgml**: 20260331

**ACCESSION NUMBER**: 0000858873-26-000002

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260330

**DATE AS OF CHANGE**: 20260331

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SISUNG SECURITIES CORPORATION
- **CENTRAL INDEX KEY:** 0000858873

**ORGANIZATION NAME:**
- **EIN:** 721156248
- **STATE OF INCORPORATION:** LA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00633
- **FILM NUMBER:** 26816890

**BUSINESS ADDRESS:**
- **STREET 1:** 3850 N. CAUSEWAY BLVD.
- **STREET 2:** STE. 1930
- **CITY:** METAIRIE
- **STATE:** LA
- **ZIP:** 70002
- **BUSINESS PHONE:** 504-544-7700

**MAIL ADDRESS:**
- **STREET 1:** 3850 N. CAUSEWAY BLVD.
- **STREET 2:** STE. 1930
- **CITY:** METAIRIE
- **STATE:** LA
- **ZIP:** 70002

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SISUNG SECURITIES CORP                                  /BD
- **DATE OF NAME CHANGE:** 19900104

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

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000858873

**Filer CCC:** XXXXXXXX

**Contact Name:** Richard L. Solares

**Contact Phone:** 504-544-7740

**Contact Email:** rich@sisung.com

**Notification Emails:** lane@sisung.com, john@sisung.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** SISUNG SECURITIES CORPORATION

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 25752

**&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:** 72-1156248

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00156-00

- **Municipal Advisor:** SEC File No: 867-00633

- **Broker-Dealer:** SEC File No: 008-42121, CRD No: 25752

- **Other:** Description: Louisiana

**Additional Registrations:**

- **MSRB:** A3587

- **Alabama:** 25752

- **California:** 25752

- **Colorado:** 25752

- **Florida:** 25752

- **Georgia:** 25752

- **Mississippi:** 25752

- **Texas:** 25752

- **Tennessee:** 25752

**E. Principal Office and Place of Business:** 3850 N. CAUSEWAY BLVD, STE 1930, METAIRIE, LA, 70002

**Telephone Number:** 504-544-7700

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

**F. Website:** www.sisung.com

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

**Name:** Lawrence John Sisung,Jr.

**Titles:** President, CEO

**Address:** 3850 N. CAUSEWAY BLVD, STE 1930, METAIRIE, LA, 70002

**Phone Number:** 504-544-7700

**Email:** larry@sisung.com

**H. Business Affiliates:**

- **Name:** Sisung Investment Management Services, LLC

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** United Properties Number One Corporation

- **Name:** Sisung Strategic Resources, LLC

- **Name:** Sisung Trading LLC

- **Name:** Cornerstone Resources LLC

- **Name:** Summit Holdings Corporation

- **Name:** United Professionals Company

- **Name:** United Properties Number Two Company

- **Name:** Atlantic Investments LLC

- **Name:** Landmark Leasing LLC

- **Name:** Landmark Management, Inc.

- **Name:** Landmark Leasing 2004A, LLC

- **Name:** Sisung Capital LLC

- **Name:** Sisung Capital Management LLC

- **Name:** Sisung Capital BIDCO LLC

- **Name:** SURF, LLC

- **Name:** Sun Capital, LLC

- **Name:** K2 Investments LLC

- **Name:** Sisung Film Finance LLC

- **Name:** Sisung Export Capital LLC

- **Name:** RL Sisung Company, LLC

- **Name:** LJ Sisung Company, LLC

- **Name:** Sisung Holdings LLC

- **Name:** Sisung Services LLC

- **Name:** Sisung Investment Group LLC

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

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

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

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

**D. Date of Organization:** 11-14-1989

**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:** 10

**B. Municipal Advisory Activities - Employees:** 4

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 4

**&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:** 20

**&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?:** Yes

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, 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:** Investment Adviser, Insurance company or agency, Real estate broker or dealer, Investment Adviser, Insurance company or agency, Real estate broker or dealer

**Total Associated Persons:** 3

### 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?:** Yes

- **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?:** No

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

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

- **SEC/CFTC Imposed Civil Penalty?:** No

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

- **SRO Found Violation?:** No

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

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **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?** Yes

**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   |
|:---|:---|:---|:---|:---|:---|:---|
| Sisung Holdings, LLC      | Shareholder           | 01-01-2018      | E - 75% or more   | Yes               | 82-2951198   |  |
| Lawrence John Sisung, Jr. | Pres. / CEO / CCO     | 11-01-1989      | NA - less than 5% | Yes               |  | 1285539      |
| Lawrence John Sisung, III | Director              | 01-01-1992      | NA - less than 5% | Yes               |  | 1790087      |
| Richard Louis Solares     | Sr. VP                | 06-01-1995      | NA - less than 5% | Yes               |  | 2029652      |
| John Ellis Mayeaux        | Sr. VP Public Finance | 12-01-2005      | NA - less than 5% | Yes               |  | 2993410      |
| Kent Matthew Schexnayder  | VP Public Finance     | 12-01-2005      | NA - less than 5% | Yes               |  | 3074481      |

### Schedule B: Indirect Owners

| Owning Entity        | Name                   | Title/Status   | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Sisung Holdings, LLC | RL Sisung Company, LLC | Member         | 01-01-2018      | D - 50% but less than 75% | Yes               | 82-2951302   |
| Sisung Holdings, LLC | LJ Sisung Company, LLC | Member         | 01-01-2018      | C - 25% but less than 50% | Yes               | 82-2951354   |

### 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      |  | Sisung Holdings, LLC      | Shareholder           | 01-01-2018      | E - 75% or more           | Yes               | 82-2951198   |  |
|  | Indirect    | Sisung Holdings, LLC | RL Sisung Company, LLC    | Member                | 01-01-2018      | D - 50% but less than 75% | Yes               | 82-2951302   |  |
|  | Indirect    | Sisung Holdings, LLC | LJ Sisung Company, LLC    | Member                | 01-01-2018      | C - 25% but less than 50% | Yes               | 82-2951354   |  |
|  | Direct      |  | Lawrence John Sisung, Jr. | Pres. / CEO / CCO     | 11-01-1989      | NA - less than 5%         | Yes               |  | 1285539      |
|  | Direct      |  | Lawrence John Sisung, III | Director              | 01-01-1992      | NA - less than 5%         | Yes               |  | 1790087      |
|  | Direct      |  | Richard Louis Solares     | Sr. VP                | 06-01-1995      | NA - less than 5%         | Yes               |  | 2029652      |
|  | Direct      |  | John Ellis Mayeaux        | Sr. VP Public Finance | 12-01-2005      | NA - less than 5%         | Yes               |  | 2993410      |
|  | Direct      |  | Kent Matthew Schexnayder  | VP Public Finance     | 12-01-2005      | NA - less than 5%         | Yes               |  | 3074481      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Sisung Securities Corporation

- **CRD Number:** 25752

- **Disclosure Number:** 1

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

- **Filed On (Applicant):** Form ADV/BD/U4 for Sisung Securities Corporation

- **CRD Number:** 25752

- **Disclosure Number:** 2

  - **Associated Person:** Lawrence John Sisung

  - **CRD Number:** 1285539

  - **Filed On (AP):** Form ADV/BD/U4 for Lawrence John Sisung, Jr.

  - **Disclosure Number:** 2

### Execution Page

**Signature:** Richard L. Solares

**Signer Name:** Richard L. Solares

**Title:** SR VP

**Date:** 03-30-2026

**CRD Number:** 2029652