Welcome to our dedicated page for Siebert Finl SEC filings (Ticker: SIEB), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Siebert Financial Corp (SIEB) SEC filings page on Stock Titan provides access to the company’s official regulatory disclosures, including annual reports, quarterly reports, proxy statements, and current reports on Form 8-K. As a New York–incorporated diversified financial services firm listed on Nasdaq, Siebert files with the U.S. Securities and Exchange Commission to report on its brokerage, advisory, capital markets, and related activities.
Through its filings, Siebert explains financial performance and business developments across securities brokerage, investment advisory and insurance offerings, securities lending, corporate stock plan administration solutions, and investment banking and capital markets services. Quarterly reports on Form 10-Q and annual reports on Form 10-K, referenced in company press releases, provide management’s discussion and analysis of revenue drivers such as principal transactions, stock borrow/stock loan activity, advisory fees, and investments in new business lines, including services for active traders and media initiatives.
Current reports on Form 8-K disclose material events, such as the entry into a Sales Agreement that allows Siebert to conduct at-the-market offerings of its common stock under an effective shelf registration statement on Form S-3, and the purchase of remaining membership interests in RISE Financial Services, LLC to make it a wholly-owned subsidiary. Other 8-K filings report on the results of annual shareholder meetings, including director elections, amendments to the equity incentive plan, advisory votes on executive compensation, and ratification of the independent registered public accounting firm.
The company’s DEF 14A definitive proxy statement details governance matters, the agenda and procedures for the annual meeting, voting requirements, and information about director nominees and equity incentive plans. These materials also describe quorum rules, broker non-votes, and how shareholders can attend and vote at the virtual annual meeting.
On Stock Titan, Siebert’s filings are supplemented with AI-powered summaries that highlight key points from lengthy documents, helping users quickly understand complex items such as capital-raising programs, equity incentive plan changes, and strategic transactions. Investors can review real-time updates from EDGAR, examine Forms 10-K and 10-Q with simplified explanations, and track governance and compensation topics discussed in proxy materials. Together, these filings provide a detailed record of how Siebert manages its capital structure, evaluates strategic opportunities, and communicates with shareholders.
Siebert Financial Corp. received an updated ownership report from the Gebbia family group, which continues to hold a large controlling stake in the company’s common stock. The amendment explains that members of the control group made gifts of shares to certain family members and others, and those gifted shares were later transferred into a limited liability company owned by various family members.
The update also adds 403,780 shares of common stock underlying a warrant issued by Gloria E. Gebbia to BCW Securities LLC on May 22, 2023, which had previously been left out of the group’s beneficial ownership. Based on 40,720,936 shares outstanding as of January 22, 2026, the group reports beneficial ownership of about 42% of Siebert’s common stock, including 9,833,494 shares (about 24%) held by the Gebbia Living Trust, 3,078,127 shares (about 8%) held directly by Richard Gebbia, 1,921,891 shares (about 5%) held directly by John M. Gebbia, and 1,415,318 shares (about 4%) held directly by David Gebbia, plus additional indirect holdings. Each reporting person disclaims beneficial ownership beyond his or its economic interest.
Siebert Financial Corp. insider Richard Gebbia, identified as a member of a 10% owner group, reported family-related changes in indirect ownership of the company’s common stock. He directly owns 3,078,127 shares of common stock.
On January 20, 2026, minor family members associated with him were gifted 13,000 shares, increasing his reported indirect ownership, and those same 13,000 shares were then transferred by family members to a limited liability company owned by various family members, decreasing his indirect ownership by the same amount. Family members included in his indirect ownership collectively hold 561,273 shares, for which he disclaims beneficial ownership except for his pecuniary interest.
The filing also notes an indirect holding of 17,074,103 shares for a family control group. Within this group, 403,780 shares underlying a warrant issued by a control-group member to BCW Securities LLC had been previously underreported, and there was a net decrease of 143,000 shares from gifts by control-group members. Gebbia disclaims beneficial ownership of these control-group shares except to the extent of any pecuniary interest.
Siebert Financial Corp. insider John M. Gebbia, identified as a member of a 10% owner group, reported several ownership changes in the company’s common stock. On January 20, 2026, he gifted 3,000 shares of common stock, reducing his direct holdings to 1,921,891 shares.
Minor family members received a gift of 26,000 shares, increasing his reported indirect holdings before those same 26,000 shares were transferred to a family-owned limited liability company, leaving 490,000 shares reported as indirectly owned through various family members. Gebbia reports participation in a family control group with 17,074,103 shares indirectly owned by the group after adjusting for previously underreported 403,780 shares underlying a warrant and a net decrease of 143,000 shares from gifts by control group members. He disclaims beneficial ownership of the indirectly held and control group shares except to the extent of his pecuniary interest.
Siebert Financial director Gloria E. Gebbia, a more than 10% owner, reports changes and clarifications to her indirect holdings of Siebert Financial Corp. common stock. A family trust she jointly owns with her husband, the Gebbia Living Trust, gifted 140,000 shares to family members, resulting in Gebbia’s indirect ownership through that trust totaling 9,833,494 shares of common stock. A separate family control group, of which she is a member, now has indirect holdings of 17,074,103 shares after net gifts of 143,000 shares, and she disclaims beneficial ownership of those control group shares except for her pecuniary interest. The filing also notes that her indirect ownership had previously omitted 403,780 shares underlying a warrant issued to BCW Securities LLC, which are now included in her reported beneficial ownership.
David Gebbia, a member of a 10% owner group of Siebert Financial Corp., filed a Form 4 updating his direct and indirect holdings of the company’s common stock. He directly owns 1,415,318 shares of common stock. On January 20, 2026, 13,000 shares were gifted to his minor family members at a price of $0, increasing his reported indirect ownership to 387,000 shares, and 13,000 shares were then transferred at $0 to a family-owned limited liability company, reducing that indirect position to 374,000 shares. He is also reported as indirectly owning 17,074,103 shares through a family control group, which includes 403,780 shares underlying a warrant that had previously been omitted. Gebbia disclaims beneficial ownership of the indirectly held and control group shares except to the extent of his pecuniary interest.
Siebert Financial Corp. insider filing shows changes in indirect ownership following family share gifts and a prior underreporting correction. The reporting person, identified as a director, CEO, 10% owner and member of a 10% owner group of Siebert Financial Corp. (SIEB), reports no directly owned common shares. A trust jointly owned with the reporting person’s spouse, the Gebbia Living Trust, gifted 140,000 shares of common stock to family members on January 20, 2026, reducing the reporting person’s indirect holdings through that trust to 9,833,494 shares. The filing also notes that the reporting person’s indirect ownership had previously been underreported by 403,780 shares tied to common stock underlying a warrant issued to BCW Securities LLC, which are now included. A family control group associated with the reporting person holds 17,074,103 shares in total after net gifts of 143,000 shares, with the reporting person disclaiming beneficial ownership of those control group shares except to the extent of any pecuniary interest.
Siebert Financial Corp. (SIEB) insider David Gebbia reported changes in his beneficial ownership of the company’s common stock. He directly owns 1,415,318 shares of Siebert common stock. The filing shows family-related transfers of 13,000 shares, recorded as gifts and movements among family accounts and a family-owned limited liability company, all at a reported price of $0 per share.
After these transactions, family members included in Gebbia’s indirect holdings own 374,000 shares of Siebert common stock, and a broader family control group beneficially owns 16,813,323 shares. The filing notes that Gebbia disclaims beneficial ownership of certain family and control-group shares except to the extent of his economic interest.
Siebert Financial Corp. insider ownership changes were reported by a single reporting person on a Form 4. The individual directly owns 1,924,891 shares of Siebert Financial Corp. common stock. Various family-related transactions on 11/20/2025 affected the reporting person’s indirect holdings and those of a broader family control group.
The report notes that minor family members were gifted 26,000 shares, increasing the reporting person’s indirect ownership, and that 26,000 shares were then transferred by family members to a family-owned limited liability company, decreasing that indirect ownership by the same amount. Family members included in the reporting person’s indirect ownership hold 490,000 shares of common stock, and a family control group collectively holds 16,813,323 shares. The reporting person disclaims beneficial ownership of these family and control group shares except to the extent of any pecuniary interest.
Siebert Financial Corp. (SIEB)11/20/2025, he gifted 20,000 shares of Siebert common stock to an adult family member, a transfer recorded at a price of $0 because it was a gift. Following this transaction, he directly owns 589,574 shares of Siebert common stock.
The filing also notes that he holds 28,000 shares for the benefit of his minor children and disclaims beneficial ownership of those shares except to the extent of his pecuniary interest. No derivative securities were reported in this form.
Siebert Financial Corp. (SIEB) director and 10% owner Gloria E. Gebbia reported an indirect transfer of company stock within her family. A family trust, the John J & Gloria E Gebbia TTEESS UAD 12/8/94, gifted 128,000 shares of Siebert common stock at a reported price of $0, reflecting a non-cash transfer. After these transactions, Gebbia reports no direct ownership of Siebert shares and an indirect beneficial stake of 9,569,714 shares held through the Gebbia Living Trust. She is also part of a family control group that indirectly holds 16,813,323 shares, while disclaiming beneficial ownership beyond her pecuniary interest.