Ranked by Principal Amount of deals lead managed, January 1-September
Rank: 1
J.P. Morgan Securities Inc.
Address: 60 Wall St.
New York, NY 10260
Phone: 212-648-4408
Fax: 212-648-5253
Manager of Public Finance: John K. McColloch
Public Finance Bankers: 23
Municipal Traders: 9
Retail Sales Personnel: 5
Institutional Sales Personnel: 15
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $1.8 billion
Number of Issues: 10
Deals Co-Managed
Principal Amount: $6.3 billion
Number of Issues: 28
Rank: 2
Goldman, Sachs & Co.
Address: 85 Broad St., 24th Floor
New York, NY 10004
Phone: 212-902-1000
Fax: 212-902-7139
Manager of Public Finance: Richard Aks
Public Finance Bankers: 62
Municipal Traders: 13
Retail Sales Personnel: N/A
Institutional Sales Personnel: 13
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $1.7 billion
Number of Issues: 10
Deals Co-Managed
Principal Amount: $7.8 billion
Number of Issues: 41
Rank: 3
Smith Barney Inc.
Address: 390 Greenwich St., 2nd Floor
New York, NY 10013
Phone: 212-816-6000
Fax: 212-723-8939
Manager of Public Finance: Francis Y. Chin
Public Finance Bankers: 68
Municipal Traders: 4
Retail Sales Personnel: N/A
Institutional Sales Personnel: 21
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $1.6 billion
Number of Issues: 14
Deals Co-Managed
Principal Amount: $8.2 billion
Number of Issues: 125
Rank: 4
Merrill Lynch & Co.
Address: World Financial Center, North Tower
New York, NY 10281-1309
Phone: 212-449-0667
Fax: 212-449-3311
Manager of Public Finance: Samuel B. Corliss, Jr.
Public Finance Bankers: 65
Municipal Traders: 27
Retail Sales Personnel: 1,045
Institutional Sales Personnel: 20
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $1.4 billion
Number of Issues: 19
Deals Co-Managed
Principal Amount: $7.5 billion
Number of Issues: 66
Rank: 5
Bear, Stearns & Co.
Address: 245 Park Ave., 10th Floor
New York, NY 10167
Phone: 212-272-6222
Fax: 212-272-5948
Manager of Public Finance: Daniel L. Keating
Public Finance Bankers: 46
Municipal Traders: 8
Retail Sales Personnel: 3
Institutional Sales Personnel: 15
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $1.4 billion
Number of Issues: 16
Deals Co-Managed
Principal Amount: $7.8 billion
Number of Issues: 41
Rank: 6
PaineWebber Incorporated
Address: 1285 Avenue of the Americas
New York, NY 10019
Phone: 212-713-8503
Fax: 212-586-8272
Manager of Public Finance: A. Frank Farley
Public Finance Bankers: 3
Municipal Traders: 12
Retail Sales Personnel: N/A
Institutional Sales Personnel: 18
Additional New York Public Finance Offices: Albany
Deals Lead Managed
Principal Amount: $1.1 billion
Number of Issues: 15
Deals Co-Managed
Principal Amount: $8.6 billion
Number of Issues: 67
Rank: 7
Prudential Securities Inc.
Address: One New York Plaza
New York, NY 10292-2014
Phone: 212-778-6454
Fax: 212-778-2636
Manager of Public Finance: Gerald P. McBride
Public Finance Bankers: None
Municipal Traders: 2
Retail Sales Personnel: 56
Institutional Sales Personnel: 5
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $1.1 billion
Number of Issues: 11
Deals Co-Managed
Principal Amount: $7.4 billion
Number of Issues: 118
Rank: 8
Lehman Brothers
Address: World Financial Center
American Express Tower, 20th Floor
New York, NY 10285-2000
Phone: 212-526-7000
Fax: 212-526-3738
Manager of Public Finance: James Hearty
Public Finance Bankers: 55
Municipal Traders: 26
Retail Sales Personnel: 85
Institutional Sales Personnel: 24
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $1.0 billion
Number of Issues: 7
Deals Co-Managed
Principal Amount: $7.7 billion
Number of Issues: 42
Rank: 9
Roosevelt & Cross, Inc.
Address: 20 Exchange Place
New York, NY 10005
Phone: 212-344-2500
Fax: 212-480-9385
Manager of Public Finance: Herman Charbonneau
Public Finance Bankers: 5
Municipal Traders: 5
Retail Sales Personnel: 14
Institutional Sales Personnel: 14
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $468.8 million
Number of Issues: 108
Deals Co-Managed
Principal Amount: $4.9 billion
Number of Issues: 144
Rank: 10
Morgan Stanley & Co. Incorporated
Address: 1585 Broadway, 39th Floor
New York, NY 10036
Phone: 212-761-4000
Fax: 212-761-0440
Manager of Public Finance: Andrew F. Rowley
Public Finance Bankers: 52
Municipal Traders: 10
Retail Sales Personnel: 5
Institutional Sales Personnel: 23
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $347.1 million
Number of Issues: 6
Deals Co-Managed
Principal Amount: $7.4 billion
Number of Issues: 32
Rank: 11
First Albany Corporation
Address: 30 S. Pearl St.
Albany, NY 12207
Phone: 518-447-8500
Fax: 518-447-7932
Manager of Public Finance: Claire Wadlington
Public Finance Bankers: 16
Municipal Traders: 5
Retail Sales Personnel: 4
Institutional Sales Personnel: 34
Additional New York Public Finance Offices: 10 locations including
Deals Lead Managed
Principal Amount: $313.5 million
Number of Issues: 26
Deals Co-Managed
Principal Amount: $7.6 billion
Number of Issues: 61
Rank: 12
Fleet Securities, Inc. (merged with NatWest Advisory Group)
Address: 14 Wall St.
New York, NY 10005
Phone: 212-384-0760
Fax: 212-384-0769
Manager of Public Finance: Maria Nolan
Public Finance Bankers: N/A
Municipal Traders: 4
Retail Sales Personnel: 6
Institutional Sales Personnel: N/A
Additional New York Public Finance Offices: Rochester
Deals Lead Managed
Principal Amount: $225.5 million
Number of Issues: 58
Deals Co-Managed
Principal Amount: $1.0 billion
Number of Issues: 73
Rank: 13
Cain Brothers & Co., Inc.
Address: 452 5th Ave., 25th Floor
New York, NY 10018
Phone: 212-869-5600
Fax: 212-869-6418
Manager of Public Finance: James E. Cain
Public Finance Bankers: 10
Municipal Traders: 2
Retail Sales Personnel: N/A
Institutional Sales Personnel: N/A
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $104.7 million
Number of Issues: 5
Deals Co-Managed
Principal Amount: $104.8 million
Number of Issues: 5
Rank: 14
Citicorp Securities, Inc.
Address: 339 Park Ave., 6th Floor
New York, NY 10022
Phone: 212-559-5260
Fax: 212-793-6611
Manager of Public Finance: Jean M. Diaz
Public Finance Bankers: 5
Municipal Traders: 4
Retail Sales Personnel: 4
Institutional Sales Personnel: 6
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $100.0 million
Number of Issues: 1
Deals Co-Managed
Principal Amount: $2.9 billion
Number of Issues: 14
Rank: 15
M.R. Beal & Co.
Address: 555 5th Ave., 8th Floor
New York, NY 10017
Phone: 212-983-3930
Fax: 212-983-4539
Manager of Public Finance: Bernard Beal
Public Finance Bankers: 6
Municipal Traders: 3
Retail Sales Personnel: None
Institutional Sales Personnel: 5
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $47.3 million
Number of Issues: 2
Deals Co-Managed
Principal Amount: $3.6 billion
Number of Issues: 23
Rank: 16
Artemis Capital Group
Address: 65 East 55th Street, 9th Floor
New York, NY 10022
Phone: 212-593-2110
Fax: 212-593-2120
Manager of Public Finance: Robin L. Wiessman
Public Finance Bankers: 7
Municipal Traders: 2
Retail Sales Personnel: None
Institutional Sales Personnel: 7
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $44.7 million
Number of Issues: 1
Deals Co-Managed
Principal Amount: $4.9 billion
Number of Issues: 18
Rank: 17
Greenwich Partners
Address: 1 Pickwick Plaza, Suite 250
Greenwich, CT 06830
Phone: 203-625-7700
Fax: 203-625-7777
Manager of Public Finance: Robert E. Christie
Public Finance Bankers: 4
Municipal Traders: None
Retail Sales Personnel: None
Institutional Sales Personnel: None
New York Public Finance Offices: Albany
Deals Lead Managed
Principal Amount: $10.8 million
Number of Issues: 2
Deals Co-Managed
Principal Amount: $1.0 billion
Number of Issues: 13
Rank: 18
Chase Manhattan (no longer in public finance)
Address: 270 Park Ave., 6th Floor
New York, NY 10017
Phone: 212-834-4686
Fax: 212-834-6080
Manager of Public Finance: N/A
Public Finance Bankers: N/A
Municipal Traders: N/A
Retail Sales Personnel: N/A
Deals Lead Managed
Principal Amount: $7.2 million
Number of Issues: 3
Deals Co-Managed
Principal Amount: $7.2 million
Number of Issues: 3
Rank: 19
J.C. Bradford & Co., Inc.
Address: 330 Commerce St.
Nashville, TN 37201
Phone: 615-748-9000
Fax: 615-271-1231
Manager of Public Finance: J. Ronald Scott
Public Finance Bankers: 2
Municipal Traders: 3
Retail Sales Personnel: N/A
Institutional Sales Personnel: 11
New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $7.0 million
Number of Issues: 2
Deals Co-Managed
Principal Amount: $7.0 million
Number of Issues: 2
Rank: 20
Keycorp/Society National Bank
Address: 157 Main St.
Cleveland, OH 44308-1382
Phone: 330-379-1440
Fax: 330-379-1455
Manager of Public Finance: tk
Public Finance Bankers: tk
Municipal Traders: tk
Retail Sales Personnel: tk
Institutional Sales Personnel: tk
New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $5.5 million
Number of Issues: 3
Deals Co-Managed
Principal Amount: $9.7 million
Number of Issues: 4
Rank: 21
Herbert J. Sims & Co., Inc.
Address: 1221 Post Road East
Westport, CT 06880-5430
Phone: 203-221-5000
Fax: 203-226-8839
Manager of Public Finance: William B. Sims
Public Finance Bankers: N/A
Municipal Traders: N/A
Retail Sales Personnel: N/A
Institutional Sales Personnel: N/A
New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $5.4 million
Number of Issues: 1
Deals Co-Managed
Principal Amount: $5.4 million
Number of Issues: 1
Rank: 22
Everen Securities, Inc.
Address: 77 W. Wacker Dr., 28th Floor
Chicago, IL 60601-1994
Phone: 312-574-6000
Fax: 312-574-8887
Manager of Public Finance: Thomas L. Chapman
Public Finance Bankers: 10
Municipal Traders: N/A
Retail Sales Personnel: 6
Institutional Sales Personnel: 5
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $5.4 million
Number of Issues: 1
Deals Co-Managed
Principal Amount: $392.8 million
Number of Issues: 5
Rank: 23
M&T Securities, Inc.
Address: One M&T Plaza, 3rd Floor
Buffalo, NY 14240
Phone: 716-849-7700
Fax: 716-849-7750
Manager of Public Finance: John Schimert
Public Finance Bankers: N/A
Municipal Traders: 2
Retail Sales Personnel: 6
Institutional Sales Personnel: 2
Additional New York Public Finance Offices: None
Deals Lead Managed
Principal Amount: $5.0 million
Number of Issues: 2
Deals Co-Managed
Principal Amount:
Number of Issues:
Rank: 24
Bank of New York
Address: 48 Wall St., 13th Floor
New York, NY 10286
Phone: 212-804-2222
Fax: 212-495-1017
Manager of Public Finance: Frederick Yosca
Public Finance Bankers: N/A
Municipal Traders: 2
Retail Sales Personnel: 6
Institutional Sales Personnel: 4
Additional New York Public Finance Offices: Buffalo
Deals Lead Managed
Principal Amount: $4.1 million
Number of Issues: 4
Deals Co-Managed
Principal Amount: $1.1 billion
Number of Issues: 31
Rank: 25
Adirondack Securities
Address:
Phone:
Fax:
Manager of Public Finance:
Public Finance Bankers:
Municipal Traders:
Retail Sales Personnel:
Institutional Sales Personnel:
Additional New York Public Finance Offices:
Deals Lead Managed
Principal Amount: $3.8 million
Number of Issues: 1
Deals Co-Managed
Principal Amount: $3.8 million
Number of Issues: 1
Source: Securities Data Co.
