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. acquired the remaining 32% membership interests in its subsidiary RISE Financial Services, LLC for $3.7 million, making RISE a wholly-owned subsidiary. The purchase included 24% previously owned by director Gloria E. Gebbia.
The price equaled the carrying value of the interests and was treated as a return of capital to the selling holders. Terms were the same for employees and non-employees, with no continued-employment condition and no side agreements or non-equity consideration. The company states the goal is to effect a capital restructuring of RISE within the consolidated group and support potential strategic opportunities. RISE has been largely inactive since its acquisition.
Siebert Financial Corp. is asking shareholders to elect seven directors at its November 18, 2025 virtual annual meeting and to approve an amendment that would increase its 2021 Equity Incentive Plan from 3,000,000 to 5,000,000 shares by adding 2,000,000 shares. The company reports 1,300,000 shares subject to outstanding full-value awards and 758,000 shares remaining under the current plan, for an asserted total overhang of 4,058,000 shares (about 10). Management says the additional shares would represent roughly 5 simple dilution of outstanding common shares and expects the new pool to last 2-3 years at historic grant rates.
The filing discloses several related-party arrangements: family members hold executive roles with aggregate compensation of $3,742,000 in 2024 and $2,776,000 in 2023; a family-affiliated entity provided payroll/paymaster services ($40,000 expense in 2023) and licenses names for which the company incurred $60,000 each year for 2023 and 2024; PW earned $98,000 and $124,000 from related parties in 2024 and 2023. The company also acquired Gebbia Media on August 12, 2024, has family members guaranteeing a credit agreement dated August 15, 2024, and completed a transaction with Kakaopay involving issuance at $2.15 per share.
Governance items include director compensation of $120,000 to each of Mr. Gebbia and Mr. Reich for board service in 2024, protections in the Amended 2021 Plan against discounted-option grants and repricing without shareholder approval, and a recommendation by the Board to ratify Crowe LLP as auditor for fiscal 2025 (Crowe audit fees reported at $825,000 for 2024). The company previously reported a material weakness relating to user access controls. The proxy includes required disclosures about executive pay, related-party transactions, and shareholder proposal deadlines for 2026.
Siebert Financial Corp. reported weaker second-quarter results driven by trading losses and higher compensation, while balance sheet and regulatory capital remained sound. Revenue for the quarter was $14.9 million, down from $20.9 million a year earlier, primarily because a $6.8 million loss on an equity investment reduced principal transactions. The company recorded a net loss of $4.7 million for the quarter versus net income of $4.0 million in the prior-year quarter, and operating income swung to a $5.8 million loss.
For the six months, revenue rose to $43.8 million from $41.3 million, and year-to-date net income was $3.9 million. Total assets increased to $560.5 million. MSCO maintained regulatory cushions: net capital of $62.4 million (about $60.5 million excess) and special reserve deposits of $144.7 million (about $3.8 million excess). The company made a $2.0 million strategic investment in FusionIQ and acquired music masters for $441,000.
Form 4 filing for Siebert Financial Corp. (SIEB) discloses that director Charles Zabatta executed a Code G (gift) transaction on 07/28/2025. He transferred 180,000 shares of common stock to his wife at a stated price of $0.
- Direct ownership fell from 200,000 to 20,000 shares after the gift.
- Indirect ownership (shares held by his wife) rose to 530,439 shares; Zabatta disclaims beneficial ownership except for any pecuniary interest.
- No derivative securities, option exercises, sales for cash, or purchases were reported.
The filing signals an internal re-allocation of equity rather than a market transaction, so immediate valuation impact is likely limited. Total economic exposure for the reporting person is effectively unchanged, but the shift reduces directly controlled voting power.