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. reports mixed 2025 results, combining higher revenue with sharply lower earnings. Net revenues rose to $94.2 million from $83.9 million in 2024, but net income fell to $5.1 million from $13.3 million, and earnings per share declined to $0.13 from $0.33.
The core Financial Services segment generated $93.0 million of 2025 revenue and $6.8 million of operating income, down from $17.6 million a year earlier as compensation, technology and other operating costs increased. A newer Media, Sports and Entertainment segment produced $1.2 million of revenue and a $1.2 million operating loss as the company invests in growth.
Schebert expanded strategically by launching an investment banking division, acquiring music masters and the Big Machine Rock rock label assets, and creating new NIL services for college athletes that generated $594,000 in 2025 revenue. It also realized a $2.4 million gain on an equity investment sale and purchased the remaining 32% of RISE Financial Services for $3.7 million, making it a wholly owned broker-dealer subsidiary.
At June 30, 2025, non-affiliate market capitalization was about $61.99 million. As of March 24, 2026, Siebert had 40,940,936 common shares outstanding, 166 employees, and continued to highlight substantial regulatory, technology, cybersecurity, market and concentration risks, including heavy competition, volatile trading volumes, interest-rate sensitivity and significant influence from its principal shareholder.
Siebert Financial Corp’s CEO and director, who is also part of a 10% owner group, reported a bona fide gift of 6,000 shares of common stock held indirectly. The shares were gifted from the Gebbia Living Trust to individuals, reducing the reporting person’s indirect holdings in that trust to 9,827,494 shares.
The filing also notes the reporting person is part of a family control group that collectively holds 17,068,103 shares after the gift, while the reporting person disclaims beneficial ownership of those control group shares except for any pecuniary interest. This was a non-market, no‑price gift transfer, not an open‑market sale.
SIEBERT FINANCIAL CORP director and 10% owner group member Gloria E. Gebbia reported a bona fide gift of 6,000 shares of common stock on March 9, 2026. The shares were gifted at a price of $0.00 per share.
The transaction was made indirectly through the jointly owned John J & Gloria E Gebbia Living Trust, reducing that trust’s holdings by 6,000 shares to 9,827,494 shares of Siebert common stock. Gebbia reports no directly owned shares and is part of a family control group that indirectly holds 17,068,103 shares after the gift. She disclaims beneficial ownership of control group shares except to the extent of her pecuniary interest.
SIEBERT FINANCIAL CORP insider Richard Gebbia filed a Form 4 updating his ownership in the company’s common stock. He directly owns 3,078,127 shares of SIEBERT FINANCIAL CORP common stock.
The filing notes that his various family members own 561,273 additional shares, for which he disclaims beneficial ownership except to the extent of any pecuniary interest. It also states he is part of a family control group that holds 17,068,103 shares, and that members of this control group collectively gifted 6,000 shares to individuals outside the group, reducing the control group’s holdings by that amount.
SIEBERT FINANCIAL CORP insider John M. Gebbia, described as a member of a 10% owner group, reported his ownership of the company’s common stock. He directly owns 1,921,891 shares. Various family members collectively hold 490,000 shares that he reports indirectly but expressly disclaims beneficial ownership, other than any pecuniary interest. A wider family control group is reported with 17,068,103 shares, and members of this group previously gifted 6,000 shares to people outside the group, reducing the control group’s holdings by that amount. Gebbia also disclaims beneficial ownership of the control group shares beyond his economic interest.
Siebert Financial Corp insider David Gebbia filed a Form 4 that primarily updates his ownership position rather than reporting new trades. The filing states that he owns 1,415,318 shares of Siebert Financial common stock directly.
It also notes that various family members hold an additional 387,000 shares. Gebbia disclaims beneficial ownership of those family-held shares, and of shares held by a broader family control group, except to the extent of his pecuniary interest.
Members of this control group recently gifted 6,000 shares to individuals outside the group, resulting in a 6,000-share net decrease in the group’s overall holdings. The disclosure helps clarify how much stock Gebbia and his related group effectively control.
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.