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Siebert Financial Corp – ‘10-K’ for 12/31/19 – ‘ZIP’

On:  Friday, 3/27/20, at 5:03pm ET   ·   For:  12/31/19   ·   Accession #:  1157523-20-435   ·   File #:  0-05703

Previous ‘10-K’:  ‘10-K’ on 3/29/19 for 12/31/18   ·   Next:  ‘10-K’ on 3/10/21 for 12/31/20   ·   Latest:  ‘10-K’ on 3/29/23 for 12/31/22   ·   5 References:   

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/27/20  Siebert Financial Corp            10-K       12/31/19   87:5.1M                                   Business Wire/FA

Annual Report   —   Form 10-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Siebert Financial Corp. 10-K                        HTML    661K 
 2: EX-3.1(A)   Articles of Incorporation/Organization or Bylaws    HTML     29K 
 3: EX-21.1     Subsidiaries List                                   HTML     23K 
 4: EX-31.1     Certification -- §302 - SOA'02                      HTML     32K 
 5: EX-32.1     Certification -- §906 - SOA'02                      HTML     26K 
55: R1          Document and Entity Information                     HTML     64K 
23: R2          Consolidated Statements of Financial Condition      HTML    112K 
32: R3          Consolidated Statements of Financial Condition      HTML     34K 
                (Parenthetical)                                                  
83: R4          Consolidated Statements of Income                   HTML     88K 
54: R5          Consolidated Statement of Changes in Stockholders'  HTML     36K 
                Equity                                                           
22: R6          Consolidated Statements of Cash Flows               HTML    110K 
31: R7          Organization                                        HTML     36K 
79: R8          Summary of Significant Accounting Policies          HTML     62K 
56: R9          Acquisitions                                        HTML     56K 
59: R10         Receivables from and Payable to Clearing Broker     HTML     49K 
                Dealers and Related Parties                                      
81: R11         Furniture, Equipment and Leasehold Improvements,    HTML     37K 
                Net                                                              
34: R12         Software, Net                                       HTML     38K 
21: R13         Equity Method Investments                           HTML     43K 
57: R14         Leases                                              HTML     52K 
80: R15         Goodwill and Intangible Assets, Net                 HTML     46K 
33: R16         Fair Value Measurements                             HTML     43K 
20: R17         Note Payable - Related Party                        HTML     27K 
53: R18         Revenue Recognition                                 HTML     91K 
82: R19         Referral Fees                                       HTML     26K 
49: R20         Income Taxes                                        HTML     96K 
19: R21         Capital Requirements                                HTML     30K 
69: R22         Financial Instruments with Off-Balance Sheet Risk   HTML     29K 
                and Concentrations of Credit Risk                                
76: R23         Commitments, Contingencies and Other                HTML     33K 
48: R24         Employee Benefit Plans                              HTML     29K 
18: R25         Related Party Disclosures                           HTML     34K 
68: R26         Subsequent Events                                   HTML     31K 
75: R27         Summary of Significant Accounting Policies          HTML    121K 
                (Policies)                                                       
50: R28         Acquisitions (Tables)                               HTML     52K 
17: R29         Receivables from and Payable to Clearing Broker     HTML     49K 
                Dealers and Related Parties (Tables)                             
24: R30         Furniture, Equipment and Leasehold Improvements,    HTML     37K 
                Net (Tables)                                                     
36: R31         Software, Net (Tables)                              HTML     37K 
77: R32         Equity Method Investments (Tables)                  HTML     39K 
51: R33         Leases (Tables)                                     HTML     54K 
25: R34         Goodwill and Intangible Assets, Net (Tables)        HTML     46K 
37: R35         Fair Value Measurements (Tables)                    HTML     35K 
78: R36         Revenue Recognition (Tables)                        HTML     88K 
52: R37         Income Taxes (Tables)                               HTML     84K 
26: R38         Organization (Details)                              HTML     52K 
35: R39         Summary of Significant Accounting Policies          HTML     56K 
                (Narrative) (Details)                                            
12: R40         Acquisitions (Narrative) (Details)                  HTML     41K 
44: R41         Acquisitions (Schedule of Allocation of Purchase    HTML     65K 
                Price) (Details)                                                 
73: R42         Acquisitions (Schedule of Revenues and Net Income   HTML     36K 
                from Continuing Operations) (Details)                            
66: R43         Acquisitions (Schedule of Pro Forma Consolidated    HTML     31K 
                Information) (Details)                                           
13: R44         Receivables from and Payable to Clearing Broker     HTML     56K 
                Dealers and Related Parties (Schedule of Amounts                 
                Receivable) (Details)                                            
45: R45         Furniture, Equipment and Leasehold Improvements,    HTML     42K 
                Net (Details)                                                    
74: R46         Software, Net (Narrative) (Details)                 HTML     38K 
67: R47         Software, Net (Schedule of Software, Net)           HTML     37K 
                (Details)                                                        
14: R48         Equity Method Investments (Narrative) (Details)     HTML     43K 
43: R49         Equity Method Investments (Schedule of              HTML     36K 
                Supplemental Operations Information) (Details)                   
39: R50         Equity Method Investments (Schedule of              HTML     36K 
                Supplemental Financial Condition Information)                    
                (Details)                                                        
29: R51         Leases (Narrative) (Details)                        HTML     28K 
62: R52         Leases (Schedule of Supplemental Balance Sheet      HTML     30K 
                Information Related to Leases) (Details)                         
87: R53         Leases (Schedule of Additional Information Related  HTML     29K 
                to Leases) (Details)                                             
38: R54         Leases (Schedule of Lease Costs and Other Lease     HTML     45K 
                Information) (Details)                                           
28: R55         Leases (Schedule of Future Minimum Base Rental      HTML     46K 
                Payment) (Details)                                               
61: R56         Goodwill and Intangible Assets, Net (Narrative)     HTML     33K 
                (Details)                                                        
86: R57         Goodwill and Intangible Assets, Net (Schedule of    HTML     47K 
                Information Related to Intangible Assets)                        
                (Details)                                                        
40: R58         Goodwill and Intangible Assets, Net (Schedule of    HTML     44K 
                Annual Amortization Expense for Intangible Assets)               
                (Details)                                                        
27: R59         Fair Value Measurements (Schedule of Fair Value     HTML     40K 
                Hierarchy for Assets and Liabilities Measured at                 
                Fair Value) (Details)                                            
65: R60         Note Payable - Related Party (Details)              HTML     39K 
71: R61         Revenue Recognition (Narrative) (Details)           HTML     30K 
47: R62         Revenue Recognition (Schedule of Major Revenue      HTML     47K 
                Categories) (Details)                                            
16: R63         Revenue Recognition (Schedule of Performance        HTML     30K 
                Obligation) (Details)                                            
64: R64         Revenue Recognition (Disaggregation of Revenue)     HTML     52K 
                (Details)                                                        
70: R65         Referral Fees (Details)                             HTML     26K 
46: R66         Income Taxes (Narrative) (Details)                  HTML     47K 
15: R67         Income Taxes (Schedule of Income Tax (Benefit) /    HTML     49K 
                Expense) (Details)                                               
63: R68         Income Taxes (Schedule of Reconciliation of U.S.    HTML     60K 
                Federal Statutory Income Tax Rate) (Details)                     
72: R69         Income Taxes (Schedule of Deferred Tax Assets       HTML     49K 
                (Liabilities)) (Details)                                         
85: R70         Capital Requirements (Narrative) (Details)          HTML     39K 
60: R71         Commitments, Contingencies and Other (Narrative)    HTML     30K 
                (Details)                                                        
30: R72         Related Party Disclosures (Details)                 HTML     89K 
41: R73         Subsequent Events (Details)                         HTML     45K 
42: XML         IDEA XML File -- Filing Summary                      XML    163K 
84: EXCEL       IDEA Workbook of Financial Reports                  XLSX     87K 
 6: EX-101.INS  XBRL Instance -- sieb-20191231                       XML   1.28M 
 8: EX-101.CAL  XBRL Calculations -- sieb-20191231_cal               XML    264K 
 9: EX-101.DEF  XBRL Definitions -- sieb-20191231_def                XML    446K 
10: EX-101.LAB  XBRL Labels -- sieb-20191231_lab                     XML    948K 
11: EX-101.PRE  XBRL Presentations -- sieb-20191231_pre              XML    771K 
 7: EX-101.SCH  XBRL Schema -- sieb-20191231                         XSD    170K 
58: ZIP         XBRL Zipped Folder -- 0001157523-20-000435-xbrl      Zip    138K 


‘ZIP’   —   XBRL Zipped Folder — 0001157523-20-000435-xbrl


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Files:sieb-20191231.xml
sieb-20191231.xsd
sieb-20191231_cal.xml
sieb-20191231_def.xml
sieb-20191231_lab.xml
sieb-20191231_pre.xml


5 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/18/24  Siebert Financial Corp.           S-3/A                  2:184K                                   EdgarAgents LLC/FA
 1/18/24  Siebert Financial Corp.           S-3                    4:233K                                   EdgarAgents LLC/FA
 3/29/23  Siebert Financial Corp.           10-K       12/31/22  103:9.1M                                   EdgarAgents LLC/FA
 3/30/22  Siebert Financial Corp.           10-K       12/31/21  106:8.7M                                   Doremus Fin… Printing/FA
 3/10/21  Siebert Financial Corp.           10-K       12/31/20   95:6.5M                                   Business Wire/FA
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Filing Submission 0001157523-20-000435   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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