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Corporate Citizenship

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.

Our ESG Principles

1. 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.

2. 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.

3. Environmental Stewardship

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.


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.

5. 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.

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