Original filing (PDF)20251015104354NAL0009144674001

SIEBERT FINANCIAL CORP.

Name: SIEBERT FINANCIAL CORP. — SIEBERT FINANCIAL CORP. 401(K) PLAN, Form 5500 (2024)
Creator: SIEBERT FINANCIAL CORP.

Form 5500

FILING_RECEIVED

SIEBERT FINANCIAL CORP. 401(K) PLAN

401(k) retirement plan

Signals · 2

25% in single holdingNo recordkeeper disclosed

Active participants

132

Accounts w/ balance

105

Plan assets (EOY)

$10.2M

Net assets (EOY)

$10.2M

How this plan invests

This plan

29 securities

funds · stocks · CUSIPs

Holdings are itemized directly on this plan's Schedule of Assets, below.

Plan health score (directional)

/ 100

Grade A

Top-tier plan health

Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.

Compliance & disclosures

100

Concentration risk

Total plan cost

Vendor stack

Participation health

100

Knocking points off

Top holding "or similar party investment Cost** Current value Fidelity 500 Index Fund Mutual Fund" is 25% of plan.
No recordkeeper disclosed on Schedule C.

Helping the score

No Schedule C compensation disclosed — likely a small plan or unbundled.

Decision-maker contacts

CFO / Head of HR / Benefits Manager — verified email + LinkedIn for SIEBERT FINANCIAL CORP..

Plan sponsor

Name

SIEBERT FINANCIAL CORP.

EIN

11-1796714

Address

653 COLLINS AVE · MIAMI, FL · 33139

Phone

(407) 804-2216

Industry

Finance & Insurancesee all

Plan administrator

Same as plan sponsor.

Plan characteristics

Plan number

001

Plan year

2024

Plan year begin

2024-01-01

Tax period

2024-12-31

Filed

2025-10-15

Pension benefit codes

2F · ERISA section 404(c)

2G · Total participant-directed accounts

2J · 401(k) feature

2K · 401(m) arrangement

2T · Default investment account (QDIA)

3D · Pre-approved plan (master / prototype / VS)

Audit & trust (Schedule H)

Auditor

LILLING & COMPANY LLP

Trustee / custodian

—

Trustee phone

—

Service providers (Schedule C)

No Schedule C providers reported

Investments

28 direct securities· $10.2M(100% of reported assets)

Investment	Type	Shares / units	Cost	Current value	% of plan
similar party investment Cost** Current value Fidelity 500 Index Fund Mutual Fund	—	—	—	$2.6M	25.3%
Fidelity Government Cash Reserves Mutual Fund	—	—	—	$1.6M	16.0%
Fidelity Freedom Index Income Inv Mutual Fund	—	—	—	$1.2M	11.3%
Fidelity Adv Balanced I Mutual Fund	—	—	—	$1.1M	10.9%
Fidelity Advisor Growth Opp I Mutual Fund	—	—	—	$776K	7.6%
T. Rowe Price Dividend Growth Inv Mutual Fund	—	—	—	$569K	5.6%
Fidelity Small Cap Growth Mutual Fund	—	—	—	$525K	5.1%
T. Rowe Price Science And Tech Inv Mutual Fund	—	—	—	$366K	3.6%
similar party investment Cost** Current value Bearing interest ranging from * Participant Loans 4.25% to 9.50% $0	—	—	—	$271K	2.7%
Fidelity Freedom Index 2060 Inv Mutual Fund	—	—	—	$194K	1.9%
Fidelity U.S. Bond Index Fund Mutual Fund	—	—	—	$169K	1.7%
Federated Hermes Kaufmann Fund IS Mutual Fund	—	—	—	$151K	1.5%
Fidelity Advisor Intl Cap Appr I Mutual Fund	—	—	—	$132K	1.3%
Fidelity Emerging Markets Fund Mutual Fund	—	—	—	$97K	0.9%
Fidelity Advisor Health Care I Mutual Fund	—	—	—	$71K	0.7%
Fidelity Mid Cap Index Mutual Fund	—	—	—	$58K	0.6%
Transamerica Morgan Stanley Captl Grw Mutual Fund	—	—	—	$53K	0.5%
Fidelity Freedom Index 2030 Inv Mutual Fund	—	—	—	$48K	0.5%
Fidelity Freedom Index 2050 Inv Mutual Fund	—	—	—	$46K	0.4%
Fidelity U.S. Sustainability Index Mutual Fund	—	—	—	$37K	0.4%
Fidelity Womens Leadership Mutual Fund	—	—	—	$31K	0.3%
Federated Hermes Corp Bond IS Mutual Fund	—	—	—	$27K	0.3%
Fidelity Freedom Index 2055 Inv Mutual Fund	—	—	—	$22K	0.2%
Fidelity Freedom Index 2035 Inv Mutual Fund	—	—	—	$12K	0.1%
Fidelity Freedom Index 2020 Inv Mutual Fund	—	—	—	$8K	<0.1%
Fidelity Freedom Index 2040 Inv Mutual Fund	—	—	—	$7K	<0.1%
Fidelity Environment And Alter Energy Mutual Fund	—	—	—	$7K	<0.1%
Fidelity Freedom Index 2065 Inv Mutual Fund	—	—	—	$4K	<0.1%