UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ___________to ___________ Commission file number 0-5703 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 11-1796714 (State or ...

FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 For the transition period from ____________________ to ____________________ Commission file number 0-5703 Siebert Financial Corp. (Exact Name of Registrant as Specified in its Charter) (S ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ____________________ to ____________________ Commission file number 0-5703 Siebert Financial Corp. (Exact Name of Registrant as Specified in its Charter) (State ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ____________________ to ____________________ (State or Other Jurisdiction of Incorporation or Organization) (I.R.S. Employer Identification No.) New York 11-179 ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2021 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ___________to ___________ Commission file number 0-5703 Siebert Financial Corp. Washington, D.C. 20549 Form 10-K (Exact name of registrant as specified in its charter) New York 11-1796714 (State or ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ____________________ to ____________________ Commission file number 0-5703 Siebert Financial Corp. Indicate by check mark whether the registrant: (1) has fi ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ____________________ to ____________________ Commission file number 0-5703 Siebert Financial Corp. (Exact Name of Registrant as Specified in its Charter) (State ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ____________________ to ____________________ Commission file number 0-5703 Siebert Financial Corp. (Exact Name of Registrant as Specified in its Charter) (State ...

Financial Performance - Total revenue for the year ended December 31, 2020, was $54,872,000, an increase of 28.2% compared to $42,777,000 in 2019[435]. - Stock borrow/stock loan revenue for 2020 was $4,045,000, up 151.5% from $1,607,000 in 2019[429]. - Total trading execution and clearing services revenue increased to $39,258,000 in 2020 from $22,920,000 in 2019, representing a growth of 71.0%[435]. - Margin interest revenue decreased to $8,725,000 in 2020 from $11,502,000 in 2019, a decline of 24.4%[435]. - Pro forma revenue for the year ended December 31, 2019, was $53,938,000, with net income of $1,704,000[370]. - For the 31-day period ended December 31, 2019, WPS generated revenue of $968,000 and net income of $203,000[366]. Acquisitions - The Company acquired StockCross for approximately $29.75 million, which included 3,298,774 shares of restricted common stock[349]. - The total assets acquired from StockCross amounted to $514.93 million, while total liabilities assumed were $499.21 million, resulting in net assets acquired of $15.71 million[357]. - The Company purchased WPS for approximately $7.1 million in cash, with an additional $3 million financed through a promissory note[360]. - The acquisition of StockCross was accounted for as a transaction between entities under common control, with no change in control over net assets[350]. - The acquisition of WPS was accounted for under the acquisition method of accounting for business combinations pursuant to ASC 805[361]. - The acquisition of WPS resulted in a purchase price of $7,125,000, with net assets acquired valued at $5,136,000 and goodwill of $1,989,000, all of which is expected to be tax-deductible[365]. - The Company acquired 85% of StockCross for 3,298,774 shares of its common stock, consolidating all receivables and payables upon merger on January 1, 2020[482]. Financial Position - As of December 31, 2020, total receivables from broker-dealers and clearing organizations amounted to $23,023,000, a significant increase from $8,475,000 as of December 31, 2019[372]. - The Company had total deferred tax assets of $5,758,000 as of December 31, 2020, after accounting for a valuation allowance[447]. - MSCO's net capital as of December 31, 2020, was $27.5 million, exceeding the required net capital of $2.3 million by approximately $25.2 million[453]. - As of December 31, 2020, MSCO had cash deposits of $324.9 million in special reserve accounts, which was $5.0 million in excess of the deposit requirement of $319.9 million[455]. - WPS's net capital was approximately $3.9 million as of December 31, 2020, exceeding its minimum requirement of $250,000 by approximately $3.7 million[460]. Expenses and Costs - The Company reported operating lease costs of $2,314,000 for 2020, up from $1,764,000 in 2019, with total rent and occupancy expenses reaching $2,767,000[401][404]. - The total cost related to InvestCloud for the year ended December 31, 2020, was $764,000, including $219,000 in share-based payments[376]. - The Company recognized expenses of $1,308,000 for self-insurance claims for the year ended December 31, 2020[477]. - The company paid client expenses related to soft dollar arrangements of approximately $693,000 in 2020, compared to $48,000 in 2019[437]. - Referral fees incurred by the company were approximately $738,000 in 2020, up from $86,000 in 2019[444]. Taxation - The total provision for income taxes for 2020 was $221,000, a significant decrease from $1,048,000 in 2019[446]. - The effective tax rate for the Company decreased to 6.9% in 2020 from 24.5% in 2019, primarily due to tax amortization of intangible assets and a change in valuation allowance[447]. - The Company's valuation allowance on deferred tax assets decreased by $166,000 during 2020, indicating a more favorable outlook on the realization of these assets[448]. - As of December 31, 2020, the Company had U.S. federal net operating loss carryforwards of approximately $13.8 million, with $12.8 million expiring between 2033 and 2036 if not utilized[449]. - The Company does not believe that the amount of unrecognized tax benefits will significantly increase or decrease within the next 12 months, with a balance of $1,105,000 as of December 31, 2020[451]. Assets and Securities - As of December 31, 2020, the Company held U.S. government securities valued at $2,029,000, categorized as level 1 in the fair value hierarchy[390]. - The total securities owned at fair value as of December 31, 2020, amounted to $2,623,000, with $479,000 in equity securities[390]. - The Company recorded a balance of $288,000 in level 3 equity assets at the beginning of 2020, which was liquidated during the year[390]. - The total net value of furniture, equipment, and leasehold improvements was $762,000, a decrease from $1,150,000 in 2019[394]. - The total net value of software assets increased to $1,334,000 in 2020 from $1,888,000 in 2019, with total amortization expenses for software amounting to $951,000 in 2020[395]. Debt and Credit - The Company had a line of credit with East West Bank, with an outstanding balance of $4.7 million and an additional $5.0 million available to draw down[417]. - The Company entered into a Loan and Security Agreement with East West Bank allowing for term loans up to $10 million, with a minimum interest rate of 3.25%[413][414]. - The effective interest rate related to the line of credit was 3.25% for the year ended December 31, 2020, with interest expense also reported at $54,000[419]. - The Company has available lines of credit for short-term overnight borrowing of up to $15 million, with no outstanding loan balances as of December 31, 2020[472]. Employee and Operational Matters - The Company has a defined-contribution retirement plan covering substantially all employees, with no contributions made for the years ended December 31, 2020 and 2019[480]. - The Company issued 150,000 shares of restricted common stock to two new employees, each paying approximately $400,000 for their shares[441]. - The Company operates on a month-to-month lease agreement for its Omaha branch office, with rent expenses of $60,000 for both 2020 and 2019[489]. - The Company benefits from operational efficiencies through its partnership with OpenHand, leveraging cloud-based technology from Amazon Web Services[493]. Regulatory and Compliance - The Company had $0 and $1.3 million of securities segregated for regulatory purposes, respectively[306]. - The Company has experienced no material historical losses related to its contra-parties for the years ended December 31, 2020 and 2019, indicating stable credit risk management[302]. - The Company believes its estimates for deferred tax assets are reasonable, reflecting a proactive approach to tax planning and financial forecasting[330]. - The Company evaluated subsequent events through March 10, 2021, with no significant impacts reported[490].