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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/10/21 Siebert Financial Corp. 10-K 12/31/20 95:6.5M Business Wire/FA |
Document/Exhibit Description Pages Size
1: 10-K Siebert Financial Corp. Form 10-K HTML 727K
2: EX-21.1 Subsidiaries List HTML 28K
3: EX-31.1 Certification -- §302 - SOA'02 HTML 33K
4: EX-32.1 Certification -- §906 - SOA'02 HTML 27K
11: R1 Document and Entity Information HTML 86K
12: R2 Consolidated Statements of Financial Condition HTML 139K
13: R3 Consolidated Statements of Financial Condition HTML 34K
(Parenthetical)
14: R4 Consolidated Statements of Income HTML 100K
15: R5 Consolidated Statement of Changes in Stockholders' HTML 60K
Equity
16: R6 Consolidated Statements of Cash Flows HTML 133K
17: R7 Organization HTML 37K
18: R8 Summary of Significant Accounting Policies HTML 60K
19: R9 Acquisitions HTML 72K
20: R10 Receivables From, Payables To, and Deposits With HTML 43K
Broker-Dealers and Clearing Organizations
21: R11 Prepaid Service Contract HTML 30K
22: R12 Fair Value Measurements HTML 100K
23: R13 Furniture, Equipment, and Leasehold Improvements, HTML 38K
Net
24: R14 Software, Net HTML 37K
25: R15 Leases HTML 59K
26: R16 Goodwill and Intangible Assets, Net HTML 48K
27: R17 Long-Term Debt HTML 35K
28: R18 Note Payables - Related Party HTML 45K
29: R19 Revenue Recognition HTML 67K
30: R20 Employee Stock Purchases HTML 29K
31: R21 Referral Fees HTML 27K
32: R22 Income Taxes HTML 83K
33: R23 Capital Requirements HTML 33K
34: R24 Financial Instruments with Off-Balance Sheet Risk HTML 31K
35: R25 Commitments, Contingencies and Other HTML 34K
36: R26 Employee Benefit Plans HTML 29K
37: R27 Related Party Disclosures HTML 33K
38: R28 Subsequent Events HTML 30K
39: R29 Summary of Significant Accounting Policies HTML 120K
(Policies)
40: R30 Acquisitions (Tables) HTML 65K
41: R31 Receivables From, Payables To, and Deposits With HTML 43K
Broker-Dealers and Clearing Organizations (Tables)
42: R32 Fair Value Measurements (Tables) HTML 94K
43: R33 Furniture, Equipment, and Leasehold Improvements, HTML 37K
Net (Tables)
44: R34 Software, Net (Tables) HTML 37K
45: R35 Leases (Tables) HTML 63K
46: R36 Goodwill and Intangible Assets, Net (Tables) HTML 49K
47: R37 Long-Term Debt (Tables) HTML 31K
48: R38 Note Payables - Related Party (Tables) HTML 44K
49: R39 Revenue Recognition (Tables) HTML 58K
50: R40 Income Taxes (Tables) HTML 84K
51: R41 Organization (Details) HTML 40K
52: R42 Summary of Significant Accounting Policies HTML 44K
(Narrative) (Details)
53: R43 Acquisitions (Narrative) (Details) HTML 62K
54: R44 Acquisitions (Schedule of Assets Acquired and HTML 80K
Liabilities Assumed) (Details)
55: R45 Acquisitions (Schedule of Allocation of Purchase HTML 64K
Price) (Details)
56: R46 Acquisitions (Schedule of Revenues and Net Income HTML 42K
from Continuing Operations) (Details)
57: R47 Acquisitions (Schedule of Pro Forma Consolidated HTML 32K
Information) (Details)
58: R48 Receivables From, Payables To, and Deposits With HTML 31K
Broker-Dealers and Clearing Organizations
(Narrative) (Details)
59: R49 Receivables From, Payables To, and Deposits With HTML 46K
Broker-Dealers and Clearing Organizations
(Schedule of Receivable) (Details)
60: R50 Prepaid Service Contract (Details) HTML 60K
61: R51 Fair Value Measurements (Schedule of Fair Value HTML 77K
Hierarchy for Assets and Liabilities Measured at
Fair Value) (Details)
62: R52 Fair Value Measurements (Schedule of Changes in HTML 30K
Level 3 Equity Assets) (Details)
63: R53 Furniture, Equipment, and Leasehold Improvements, HTML 28K
Net (Narrative) (Details)
64: R54 Furniture, Equipment, and Leasehold Improvements, HTML 42K
Net (Schedule of Furniture, equipment and
leasehold improvements) (Details)
65: R55 Software, Net (Narrative) (Details) HTML 37K
66: R56 Software, Net (Schedule of Software, Net) HTML 38K
(Details)
67: R57 Leases (Narrative) (Details) HTML 32K
68: R58 Leases (Schedule of Supplemental Balance Sheet HTML 32K
Information Related to Leases) (Details)
69: R59 Leases (Schedule of Additional Information Related HTML 30K
to Leases) (Details)
70: R60 Leases (Schedule of Lease Costs and Other Lease HTML 45K
Information) (Details)
71: R61 Leases (Schedule of Future Minimum Base Rental HTML 41K
Payment) (Details)
72: R62 Goodwill and Intangible Assets, Net (Narrative) HTML 40K
(Details)
73: R63 Goodwill and Intangible Assets, Net (Schedule of HTML 48K
Information Related to Intangible Assets)
(Details)
74: R64 Goodwill and Intangible Assets, Net (Schedule of HTML 41K
Annual Amortization Expense for Intangible Assets)
(Details)
75: R65 Long-Term Debt (Details) HTML 61K
76: R66 Long-Term Debt (Schedule of Future Minimum HTML 37K
Payments for Line of Creditt) (Details)
77: R67 Note Payables - Related Party (Narrative) HTML 32K
(Details)
78: R68 Note Payables - Related Party (Schedule of Notes HTML 51K
Payable) (Details)
79: R69 Revenue Recognition (Narrative) (Details) HTML 37K
80: R70 Revenue Recognition (Schedule of Major Revenue HTML 56K
Categories) (Details)
81: R71 Revenue Recognition (Schedule of Performance HTML 31K
Obligation) (Details)
82: R72 Employee Stock Purchases (Details) HTML 35K
83: R73 Referral Fees (Details) HTML 27K
84: R74 Income Taxes (Narrative) (Details) HTML 45K
85: R75 Income Taxes (Schedule of Income Tax Expense) HTML 49K
(Details)
86: R76 Income Taxes (Schedule of Reconciliation of U.S. HTML 44K
Federal Statutory Income Tax Rate) (Details)
87: R77 Income Taxes (Schedule of Deferred Tax Assets HTML 50K
(Liabilities)) (Details)
88: R78 Income Taxes (Schedule of Beginning and Ending HTML 39K
Amount of Unrecognized Tax Benefits (Details)
89: R79 Capital Requirements (Details) HTML 61K
90: R80 Commitments, Contingencies and Other (Narrative) HTML 41K
(Details)
91: R81 Related Party Disclosures (Details) HTML 49K
92: R82 Subsequent Events (Details) HTML 48K
94: XML IDEA XML File -- Filing Summary XML 182K
93: EXCEL IDEA Workbook of Financial Reports XLSX 125K
5: EX-101.INS XBRL Instance -- sieb-20201231 XML 1.74M
7: EX-101.CAL XBRL Calculations -- sieb-20201231_cal XML 297K
8: EX-101.DEF XBRL Definitions -- sieb-20201231_def XML 590K
9: EX-101.LAB XBRL Labels -- sieb-20201231_lab XML 1.33M
10: EX-101.PRE XBRL Presentations -- sieb-20201231_pre XML 971K
6: EX-101.SCH XBRL Schema -- sieb-20201231 XSD 220K
95: ZIP XBRL Zipped Folder -- 0001157523-21-000321-xbrl Zip 181K
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Exhibit 31.1
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2.
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Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make
the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
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3.
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Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material
respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
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4.
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The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as
defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:
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(a)
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Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to
ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
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(b)
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Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our
supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
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(c)
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Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the
effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
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(d)
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Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most
recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
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5.
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The registrant’s other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial
reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):
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(a)
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All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are
reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and
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(b)
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Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal
control over financial reporting.
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| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 3/10/21 | None on these Dates | ||
| For Period end: | 12/31/20 | |||
| List all Filings | ||||