SWS Impact

SWS IMPACT

Our ESG Principles

Siebert Williams Shank strives to be a company that benefits its stakeholders—our clients, our employees, our partners, and the many communities within which we live and work. As part of our efforts to conduct business in an ethical manner, we have developed an approach to business that seeks to uphold the following five Environmental, Social and Governance (ESG) principles.

Respect for the Individual

Our relationship with our employees, customers and business partners is guided by the company’s philosophy of “Integrity, Experience, and Results.” We seek to create an inclusive environment in which each employees’ ambitions and abilities can be developed, as well as a workplace where each individual is respected, is free from harassment and discrimination, and has a meaningful opportunity to contribute to the company’s success.

Business Ethics

Integrity is a critical foundation of a successful and sustainable business. We have worked diligently throughout the history of our company to foster trusting relationships between SWS and its customers, business partners and vendors. Siebert Williams Shank strives to adhere to the highest ethical standards as it pertains to all aspects of its operation. It maintains a robust compliance, supervisory and risk management program.

Environmental Stewardship

SWS has reduced the use of plastic products, recycles materials, conserves resources and energy in all its locations, and purchases carbon offsets from verifiable, trusted, and high impact projects. Our West Coast headquarters are located in a building with LEED Gold and Energy Star Certification and our East Coast headquarters are located in a building with LEED Silver. We work hand-in-hand with the building’s management team to monitor and comply with certain green initiatives including energy, waste and water management.

Diversity and Inclusion

We honor the fundamental value and dignity of all individuals regardless of race, color, national origin, ancestry, gender identity or expression, religion, sexual orientation, age, pregnancy, disability, military status, genetic information, marital status or any other status protected by law. We support civic and industry organizations that promote the advancement of underserved communities and endorse job opportunities in financial services for women and minorities. The diversity of our senior management, employees and vendors is evidence of our values.

Community Involvement

SWS seeks to create value for society through a broad range of community initiatives, charitable giving, and volunteerism. We support organizations and programs aimed at education, the arts, and creating experiences for young people from underserved communities to achieve their dreams. We are committed to serving the children of our community and have partnered with others to provide a platform for mentoring programs and meaningful one-on-one interactions with SWS employees. This commitment is mirrored by our employees who continuously support worthy institutions in their local communities. Additionally, in 2020, the Siebert Williams Shank Foundation was founded.

Sustainability Efforts

Aligning Our Parent Company SWC and its Affiliates with U.N. Sustainable Development Goals

Quality Education

Our relationship with our employees, customers and business partners is guided by the company’s philosophy of “Integrity, Experience, and Results.” We seek to create an inclusive environment in which each employees’ ambitions and abilities can be developed, as well as a workplace where each individual is respected, is free from harassment and discrimination, and has a meaningful opportunity to contribute to the company’s success.

Gender Equality

Frequently chosen by female-founded, and female-led companies to help raise capital and promote their growth. Support local and global organizations that advocate for women in the workplace, especially financial services.

Work and Economic Growth

In an effort to achieve net zero CO2 emission by 2030, SWS has reduced the use of plastic products, recycles materials, conserves resources and energy in all its locations, and purchases carbon offsets from verifiable, trusted, and high impact projects. Our West Coast headquarters are located in a building with LEED Gold and Energy Star Certification and our East Coast headquarters are located in a building with LEED Silver. We work hand-in-hand with the building’s management team to monitor and comply with certain green initiatives including energy, waste and water management.

Responsible Consumption and Production

We have pledged to be carbon neutral by 2030.

Sustainaible Development Goals

Promoting innovation in Green and Social Bonds. Siebert won Inaugural Bond Buyer ESG Deal of the Year in 2019 for work with Los Angeles Co. MTA. We have helped raise $60+ billion in cor-porate and municipal ESG bonds since 2014.

The SWS Foundation

The Siebert Williams Shank Foundation is the philanthropic arm of the Shank Williams Cisneros (SWC) family of companies. It was established in 2020 with the mission of helping advance equity and equality, particularly in those communities we serve and in which we operate. Among other important causes, the Foundation has made significant contributions for disaster relief in the United States, to end extreme poverty internationally, and to increase access to education and opportunity for disadvantaged communities.

Community Involvement

SWS actively prioritizes ESG principles because it provides a holistic framework that goes beyond financial considerations. By incorporating these principles, we aim to enhance long-term sustainability and contribute to positive societal impact. We celebrate our SWS employees who also value their importance of community involvement and engagement, serving on over 50 boards and organizations.