CRD #42568 · FINRA BrokerCheck + SEC IAPD

Siebert Williams Shank & Co., LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Siebert Williams Shank & Co., LLC ranks #1,885 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #155 of 868 on the same disclosure sort used on the state browse page. Siebert Williams Shank & Co., LLC carries 4 BrokerCheck disclosures across 33 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
33
branch offices
4
disclosures
#1,885 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 42568 Siebert Williams Shank & Co., LLC

Siebert Williams Shank & Co., LLC · Grade B · 4 disc · 0.12/office · Mid-sized firm

  • CRD 42568
  • GRADE B
  • DISC 4
  • REG 4
  • ARB 0
  • CIV 0
  • BRANCH 33
  • PER-OFF 0.12
  • RANK #1,885 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Pinnacle Investments, LLC (0.12 disc/office)

Pinnacle Investments, LLC0.12Capital Investment Grou…0.12Chelsea Financial Services0.13Siebert Williams Sh… (this)0.12
Disclosures per office among mid-sized firm peers (lower is cleaner)

Siebert Williams Shank & Co., LLC ranks #1,885 of 20,055 by disclosure count among graded broker-dealers; light load at 0.12 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

33 offices

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

4 actions

100% of all disclosures

Disclosures per office

0.12 per office

4 ÷ 33 offices

Siebert Williams Shank & Co., LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 85% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 4
Arbitrations 0
Civil Events 0
Total 4

Counts for Siebert Williams Shank & Co., LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
42568

Regulator-heavy mix

Siebert Williams Shank & Co., LLC in the heavier-disclosure third

Siebert Williams Shank & Co., LLC carries 4 BrokerCheck disclosures across 33 branch offices - a heavier-third raw book among graded firms (#1,885 of 20,055). Regulator-initiated events are 100% of the book (4 regulatory / 0 arbitration / 0 civil).

100% of Siebert Williams Shank & Co., LLC's 4 disclosures are regulator-initiated (4 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Siebert Williams Shank & Co., LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 0.46× state average

Siebert Williams Shank & Co., LLC tracks near the New York disclosure average

Siebert Williams Shank & Co., LLC reports 4 BrokerCheck disclosures, about 0.46× the New York average of 8.7 across 868 graded firms.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Siebert Williams Shank & Co., LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Siebert Williams Shank & Co., LLC ranks #1,885 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #155 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Siebert Williams Shank & Co., LLC?
A grade of B reflects Siebert Williams Shank & Co., LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 4 total disclosures across 33 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Siebert Williams Shank & Co., LLC have?
Siebert Williams Shank & Co., LLC has 4 total FINRA disclosures, including 4 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Siebert Williams Shank & Co., LLC?
Siebert Williams Shank & Co., LLC operates 33 branch offices and is classified by FINRA as a small firm, registered in NY (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Siebert Williams Shank & Co., LLC's disciplinary record?
You can verify Siebert Williams Shank & Co., LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 42568. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Siebert Williams Shank & Co., LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Siebert Williams Shank & Co., LLC carries 4 disclosures across 33 branch offices (about 0.12 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Siebert Williams Shank & Co., LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Pinnacle Investments, LLC (NY) - 0.12 disclosures/office, nearest mid-sized firm peer to Siebert Williams Shank & Co., LLC's 0.12
  • Capital Investment Group, Inc. (NC) - 0.12 disclosures/office, nearest mid-sized firm peer to Siebert Williams Shank & Co., LLC's 0.12
  • Chelsea Financial Services (NY) - 0.13 disclosures/office, nearest mid-sized firm peer to Siebert Williams Shank & Co., LLC's 0.12
  • Firms in NY - state roster that includes Siebert Williams Shank & Co., LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Siebert Williams Shank & Co., LLC.
  • Reading BrokerCheck Reports - How Siebert Williams Shank & Co., LLC's 0.12 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Siebert Williams Shank & Co., LLC.
  • Compare firms - put Siebert Williams Shank & Co., LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.