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StocksBonds & Fixed IncomeExchange Traded FundsMutual FundsDividend ReinvestmentOptionsAnnuitiesStructured ProductsCertificates of Deposits (CDs)Unit Investment Trust (UIT)IPO / SPACTreasury Inflation-Protected Securities (TIPS)New Securities Issue
Stocks
Bonds & Fixed Income
Exchange Traded Funds
Mutual Funds
Options
Annuities
Structured Products
Certificates of Deposits (CDs)
Unit Investment Trust (UIT)
IPO / SPAC
Treasury Inflation-Protected Securities (TIPS)
New Securities Issue
Dividend Reinvestment
invest in shares of public traded companies.
Stock can be bought on stock exchanges, and such transactions are typically regulated by governments to prevent fraud, protect investors, and benefit the larger economy.

As new shares are issued by a company, the ownership and rights of existing shareholders are diluted in return for cash to sustain or grow the business.

A preferred stock is a class of stock that is granted certain rights that differ from common stock.

Namely, preferred stock often possess higher dividend payments, and a higher claim to assets in the event of liquidation. In addition, preferred stock have a callable feature, which means that the issuer has the right to redeem the shares at a predetermined price and date as indicated in the prospectus.
Bonds & Fixed Income Products
Build a portfolio comprised of funds that aim to generate returns throughout your retirement. These funds are relatively low in market risk. Various investment types can include bond mutual funds, money market funds and Certificates of Deposit (CDs) for the fixed income portion of your portfolio.
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Bond Portfolio Analysis
Build a portfolio comprised of funds that aim to generate returns throughout your retirement. These funds are relatively low in market risk. Various investment types can include bond mutual funds, money market funds and Certificates of Deposit (CDs) for the fixed income portion of your portfolio.
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Siebert is able to provide New-issue and secondary market municipal bonds that may not be available through other brokerage firms. Additional products that may be available are taxable fixed-income securities, corporate bonds, municipal  bonds, treasuries, closed-end funds, CDs, Unit Investment Trusts (UITs), preferreds and more.

Our fixed-income representatives can help assist you by analyzing your bond portfolio and identifying issues that fit your risk profile and investment objectives. Benefits of this high level of personalized service often acts to our clients' benefit. In many cases we are able to get a better price by working with several dealers or provide an alternative security that better meets the clients' needs.
Please Note:
In general the bond market is volatile, and fixed income securities carry interest rate risk. (As interest rates rise, bond prices usually fall, and vice versa. This effect is usually more pronounced for longer-term securities.)

Fixed income securities also carry inflation risk, liquidity risk, call risk, and credit and default risks for both issuers and counter parties.

High-yield/non-investment-grade bonds involve greater price volatility and risk of default than investment-grade bonds. Any fixed income security sold or redeemed prior to maturity may be subject to loss.

Diversification and asset allocation do not ensure a profit or guarantee against loss.
Exchange Traded Funds (ETFs)
An exchange-traded fund (ETF) is a basket of securities you buy or sell through a brokerage firm on a stock exchange. ETFs are offered on virtually all asset classes ranging from traditional investments to alternative assets like commodities or currencies.
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Exchange-traded funds can be considered one of the most important products created for individual investors in recent years. ETFs offer many benefits and, if used wisely, are an excellent vehicle to achieve an investor’s investment goals.
Give your money a chance to grow.
Mutual funds are an advantage for investors who many be looking for diversification. One Mutual Fund can offer an investor the chance to invest in hundreds—sometimes thousands—of individual securities at once. So if any one security does poorly, the others are there to help offset that risk.

Professionally managed Mutual Funds can be aligned to a variety of investment strategies and time horizons. Siebert offers a large variety of highly rated funds for efficient and cost-effective money management.
Please Note:
Before investing, consider the funds' investment objectives, risks, charges, and expenses. Contact Siebert for a prospectus or, if available, a summary prospectus containing this information. Read it carefully.

Diversification and asset allocation do not ensure a profit or guarantee against loss.Past performance is no guarantee of future results.

High-yield/non-investment-grade bonds involve greater price volatility and risk of default than investment-grade bonds. Any fixed income security sold or redeemed prior to maturity may be subject to loss.
Buy or sell a particular asset at a specific price within a set period of time.
Options trading gives you the opportunity to buy or sell a particular asset at a specific price within a set period of time. You can use options to pursue objectives such as managing risk and generating income.
If you are a qualified options investor, you may invest in simple or complex options including spreads, strangles, straddles, combinations, synthetics, buy-writes, unwinds and naked puts/calls.
A steady stream of income.
Annuities* have features that can help ensure you’ll have the money you need when you retire.

Annuities offer us a way to invest while having additional layers of protection. Since many Americans are concerned with outliving their retirement funds, monthly income planning is one of the most important steps in creating the retirement lifestyle you want and deserve. Annuities are created to help with the tax deferred growth and distribution of your wealth. Different investment options such as fixed-rate, indexed, and variable are available.

Annuities can offer several different levels that provide protection during market downturns, and may, for an additional cost, include growth, principal protection, or a stream of income for life. Annuities also have additional features that may provide guarantees, minimum rate of return, principle protection, income for life, and death benefits.

Namely, preferred stock often possess higher dividend payments, and a higher claim to assets in the event of liquidation. In addition, preferred stock have a callable feature, which means that the issuer has the right to redeem the shares at a predetermined price and date as indicated in the prospectus.
Please Note:
All guarantees are based on the financial strength and claims-paying ability of the issuing insurance company (not Siebert).
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Before investing, consider the investment objectives, risks, charges and expenses of the annuity and its investment options. Annuities are not suitable for every investor. Request and read all offering materials including a prospectus or summary prospectus prior to investing to be sure it meets your investment objectives and risk tolerance. Annuities are long term investments and may lose value. To determine if an annuity is right for you, consult with a professional insurance agent and complete a suitability review.

Fixed annuities are contracts purchased from a life insurance company. They are designed for long-term retirement goals. Withdrawals are subject to income tax, and withdrawals before age 59½ may be subject to a 10% early withdrawal federal tax penalty.

Structured Products

Contingent Interest Structured Notes are similar to Reverse Convertible issues, with important differences. Usually available in longer maturities, the return from a Contingent Interest Note is linked to the performance of one or more underlying stocks or market indexes. Best suited for investors willing to accept the greater risk that comes with higher coupon rates.

While a Contingent Interest Structured Security may provide a steady stream of income, both the return of principal and the interest coupon of the issue are both linked to the performance of one or more underlying equities or indexes. Your actual return may be less than stated if the security is called and you may not be able to reinvest the funds at similar rates. Risks associated with these investments make them unsuitable for many investors.
Reverse Convertibles
Best suited for short-term investors looking for a high coupon rate. Risk may be rewarded with a dependable income stream and higher interest rates. These investments are a short-term investment tied to one or more underlying stocks.

A Reverse Convertible Security is a short-term investment tied to one or more underlying stocks. It provides an income stream with return of principal based on the performance of the underlying stock. Reverse convertible securities can provide a short-term steady income stream, however overall returns may be lower based on call features and other factors. Your income stream may be less than stated if the security is called and you may not be able to reinvest the funds at similar rates. Risks associated with these investments make them unsuitable for many investors.
Contingent Notes
A structured note is a “hybrid security.” It combines the features of multiple different financial products into one. Structured notes combine bonds and additional investments to offer the features of both debt assets and investment assets.
Certificates of Deposit (CDs)
Traditional Certificates of Deposit (CDs) are comparatively low-risk certificates issued by banks and other financial institutions. Returns on CDs vary based on the amount invested, the length until maturity, current interest rate environment, and the attributes of the bank offering the instrument. Principal of the underlying amount invested is generally FDIC insured within the limits set forth by the FDIC. CD terms generally range from 3 months to 10 years.
Reasons to Invest
Lower-risk: Principal is generally 100% covered by FDIC insurance within limits. Visit www.FDIC.gov for more information.
Yield: Due to the relatively higher risk of investing in bank CDs to US Treasuries, one can often gain a relatively higher yield.
Maturities: The availability of CDs allows you to invest with laddered maturities with the goal of offsetting interest rate risk should interest rates change.
Unit Investment Trust (UIT)
A unit investment trust (UIT) is an investment company that offers a fixed portfolio, generally of stocks and bonds, as redeemable units to investors for a specific period of time. It is designed to provide capital appreciation and/or dividend income. Unit investment trusts, along with mutual funds and closed-end funds, are defined as investment companies.
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UITS are similar to both open-ended and closed-end mutual funds in that they all consist of collective investments in which many investors combine their funds to be managed by a portfolio manager.
Initial Public Offering (IPO) / Special Purpose Acquisition Company (SPAC)
An initial public offering (IPO) refers to the process of offering shares of a private corporation to the public in a new stock issuance. Public share issuance allows a company to raise capital from public investors.

A special purpose acquisition company (SPAC) is a company with no commercial operations that is formed strictly to raise capital through an initial public offering (IPO) for the purpose of acquiring an existing company. Also known as "blank check companies," .
IPO Certification
Treasury Inflation-Protected Securities (TIPS)
Treasury Inflation-Protected Securities, or TIPS, provide protection against inflation. The principal of a TIPS increases with inflation and decreases with deflation, as measured by the Consumer Price Index. When a TIPS matures, you are paid the adjusted principal or original principal, whichever is greater.

TIPS pay interest twice a year, at a fixed rate. The rate is applied to the adjusted principal; so, like the principal, interest payments rise with inflation and fall with deflation.

Use TIPS to:
  1. Diversify your Investment Portfolio
  2. Supplement retirement income
New Securities Issue
A new issue refers to a stock or bond offering that is made for the first time. Most new issues come from privately held companies that become public, presenting investors with new opportunities.
Dividend Reinvestment
Dividend reinvestment allows you to reinvest your cash dividends by purchasing additional shares or fractional shares. Dividend reinvestment may be a good strategy for many reasons:
  1. Easily and automatically reinvest dividends
  2. Convenient way to grow your portfolio
  3. Consistency: If you buy new shares on a regular basis with your dividend, this may help you increase your long-term returns because of the power of compounding.
Please Note:
All investments involve risk including loss of principal. Diversification and automatic rebalancing does not eliminate the risk of experiencing investment losses.
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Siebert is able to provide access to equity IPOs and Preferred Stock offerings to eligible clients. You have the choice to sign up and receive alerts as soon as these opportunities become available to Siebert.


IPOs are subject to unique risks and are not suitable for all investors. It’s important to note that receipt of an IPO alert does not mean you are eligible to participate in an offering or that you will receive an allocation.
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To find out if you are eligible, contact us at
800-872-0444.

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Siebert Financial Corporation (“Siebert”) has a full range of brokerage and financial advisory services offered through its operating subsidiaries, affiliates and brands associated with Siebert Financial described below.

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Muriel Siebert & Co., LLC Member: FINRA | NYSE | SIPC  – Provides brokerage and custodial related services and is the registered Broker Dealer and wholly owned subsidiary of Siebert Financial Corporation.

‍Siebert AdvisorNXT, LLC. (“SiebertNXT”) – A Registered Investment Advisor that provides investment advisory services and discretionary investment management for a fee. SiebertNXT is the brand name for Siebert AdvisorNXT, LLC. Prior to investing in a managed SiebertNXT portfolio, we will obtain important information from you about your financial profile and risk tolerances and we will provide you with a detailed investment proposal, investment Advisory Agreement and Wrap Fee Programs Brochure. These documents contain important information that should be carefully read before enrolling in a managed account program. Siebert AdvisorNXT, LLC. is a wholly owned subsidiary of Siebert Financial Corporation. Please read SiebertNXT Disclosures for more information.

Park Wilshire Companies, Inc. ("Siebert Insurance") - Offer insurance products and annuity investments through Park Wilshire Companies, Inc., a wholly owned subsidiary of Siebert Financial Corporation. Please read Siebert Insurance Disclosures and Siebert Annuities Disclosure.

RISE Financial Services LLC ("RISE Prime Services") - is a registered Broker Dealer and subsidiary of Siebert Financial Corporation. RISE Prime is a division of RISE Financial Services, LLC.

‍Siebert Employee Share Plans & Siebert Corporate Services – Partners with public companies to offer share plan administration solutions and services on behalf of their employees. Please read Siebert Corporate Service Disclosure.

Siebert Online and SiebertNXT response and account access times may vary due to a variety of factors, including trading volumes, market conditions, system performance.

You should always carefully consider the investment objectives, risks, charges and expenses of any investment before investing. Investing in securities products involves risk, including possible loss of principal.

Siebert Financial Corporation (“Siebert”) its affiliates & subsidiaries do not provide tax advice, and you should always consult your own tax advisor before taking any action that may have tax consequences.
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