Ranked by principal amount of long-term bonds issued from January 1
1 Lehman Brothers
Address: World Financial Center
American Express Tower, 20th Fl.
New York, NY 10285-2000
Telephone: (212) 526-7000
Facsimile: (212) 526-3738
Web Site: www.lehman.com
E-Mail: None
Head of Public Finance: James Hearty
Public Finance Bankers: 54
Municipal Traders: 26
Retail Sales Personnel: 85
Institutional Sales Personnel: 17
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $3,887.5 million
Number of Issues: 16
Deals as Co-Manager:
Principal Amount: $14,067.4 million
Ranking: 6th
Number of Issues: 61
2 Smith Barney Inc.
Address: 390 Greenwich St., 2d Fl.
New York, NY 10013
Telephone: (212) 816-6000
Facsimile: (212) 723-8939
Web Site: www.smithbarney.com
E-Mail: None
Head of Public Finance: Francis Y. Chin
Public Finance Bankers: 67
Municipal Traders: 12
Retail Sales Personnel: 14
Institutional Sales Personnel: 20
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $3,773.8 million
Number of Issues: 25
Deals as Co-Manager:
Principal Amount: $16,133.7 million
Ranking: 1st
Number of Issues: 204
3 Goldman, Sachs & Co.
Address: 85 Broad St., 24th Fl.
New York, NY 10004
Telephone: (212) 902-1000
Facsimile: (212) 357-8350
Web Site: www.goldmansachs.com
E-Mail: None
Head of Public Finance: Michael McCarthy
Public Finance Bankers: 67
Municipal Traders: 16
Retail Sales Personnel: 6
Institutional Sales Personnel: 11
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $3,446.6 million
Number of Issues: 20
Deals as Co-Manager:
Principal Amount: $14,789.9 million
Ranking: 2d
Number of Issues: 65
4 J.P. Morgan Securities Inc.
Address: 60 Wall St.
New York, NY 10260
Telephone: (212) 648-4408
Facsimile: (212) 648-5253
Web Site: www.jpmorgan.com
E-Mail: info
Head of Public Finance: John K. McColloch
Public Finance Bankers: 27
Municipal Traders: 12
Retail Sales Personnel: 27
Institutional Sales Personnel: 15
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $2,128.6 million
Number of Issues: 9
Deals as Co-Manager:
Principal Amount: $11,925.5 million
Ranking: 10th
Number of Issues: 47
5 PaineWebber Inc.
Address: 1285 Ave. of the Americas
New York, NY 10019
Telephone: (212) 713-4477
Facsimile: (212) 713-6051
Web Site: www.painewebber.com
E-Mail: None
Head of Public Finance: Terry Atkinson
Public Finance Bankers: 109
Municipal Traders: 10
Retail Sales Personnel: n/a
Institutional Sales Personnel: 21
Other Offices in New York: Albany
Deals as Lead Manager:
Principal Amount: $1,622.4 million
Number of Issues: 23
Deals as Co-Manager:
Principal Amount: $14,794.0 million
Ranking: 3d
Number of Issues: 119
6 Bear, Stearns & Co.
Address: 245 Park Ave., 10th Fl.
New York, NY 10167
Telephone: (212) 272-6222
Facsimile: (212) 272-5948
Web Site: www.bearstearns.com
E-Mail: None
Head of Public Finance: Daniel L. Keating
Public Finance Bankers: 44
Municipal Traders: 10
Retail Sales Personnel: 5
Institutional Sales Personnel: 18
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $1,445.5 million
Number of Issues: 15
Deals as Co-Manager:
Principal Amount: $13,745.7 million
Ranking: 7th
Number of Issues: 58
7 Merrill Lynch & Co.
Address: World Financial Center, North Tower
Merrill Lynch World Headquarters, 9th Fl.
New York, NY 10281-1309
Telephone: (212) 449-0667
Facsimile: (212) 449-3774
Web Site: www.merrilllynch.com
E-Mail: None
Head of Public Finance: Samuel B. Corliss Jr.
Public Finance Bankers: 79
Municipal Traders: 22
Retail Sales Personnel: 1,616
Institutional Sales Personnel: 20
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $1,275.8 million
Number of Issues: 20
Deals as Co-Manager:
Principal Amount: $14,473.9 million
Ranking: 4th
Number of Issues: 86
8 Morgan Stanley Dean Witter
Address: 1221 Ave. of the Americas
New York, NY 10020
Telephone: (212) 761-4000
Facsimile: (212) 761-0444
Web Site: www.ms.com
E-Mail: msir
Head of Public Finance: Andrew F. Rowley
Public Finance Bankers: 35
Municipal Traders: 10
Retail Sales Personnel: 15
Institutional Sales Personnel: 185
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $1,153.3 million
Number of Issues: 16
Deals as Co-Manager:
Principal Amount: $13,499.4 million
Ranking: 8th
Number of Issues: 100
9 Roosevelt & Cross Inc.
Address: 20 Exchange Place
New York, NY 10005
Telephone: (212) 344-2500
Facsimile: (212) 480-9385
Web Site: www.roosevelt-cross.com
E-Mail: info
Head of Public Finance: Herman J. Charbonneau
Public Finance Bankers: 7
Municipal Traders: 5
Retail Sales Personnel: 14
Institutional Sales Personnel: 16
Other Offices in New York: Buffalo
Deals as Lead Manager:
Principal Amount: $821.9 million
Number of Issues: 195
Deals as Co-Manager:
Principal Amount: $10,847.0 million
Ranking: 13th
Number of Issues: 259
10 Prudential Securities Inc.
Address: One New York Plaza
New York, NY 10292-2014
Telephone: (212) 778-3688
Facsimile: (212) 778-7355
Web Site: www.prusec.com
E-Mail: None
Head of Public Finance: Gerald P. McBride
Public Finance Bankers: 13
Municipal Traders: 15
Retail Sales Personnel: 56
Institutional Sales Personnel: 12
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $692.0 million
Number of Issues: 12
Deals as Co-Manager:
Principal Amount: $12,177.8 million
Ranking: 9th
Number of Issues: 167
11 First Albany Corp.
Address: 30 S. Pearl St.
Albany, NY 12207
Telephone: (518) 447-8500
Facsimile: (518) 447-7932
Web Site: www.fac.com
E-Mail: info
Head of Public Finance: Ken Gibbs
Public Finance Bankers: 18
Municipal Traders: 9
Retail Sales Personnel: 4
Institutional Sales Personnel: 34
Other Offices in New York: Buffalo, Elmira, Garden City, Johntown, New
Deals as Lead Manager:
Principal Amount: $601.9 million
Number of Issues: 23
Deals as Co-Manager:
Principal Amount: $14,095.3 million
Ranking: 5th
Number of Issues: 85
12Fleet Securities Inc.
Address: 14 Wall St.
New York, NY 10005
Telephone: (212) 384-0760
Facsimile: (212) 384-0769
Web Site: www.fleet.com
E-Mail: None
Head of Public Finance: Maria Nolan
Public Finance Bankers: 9
Municipal Traders: 4
Retail Sales Personnel: 6
Institutional Sales Personnel: n/a
Other Offices in New York: Melville, Rochester
Deals as Lead Manager:
Principal Amount: $528.7 million
Number of Issues: 90
Deals as Co-Manager:
Principal Amount: $5,888.9 million
Ranking: 21st
Number of Issues: 128
13 Dillon, Read & Co.
(no longer in public finance)
Deals as Lead Manager:
Principal Amount: $350.0 million
Number of Issues: 1
Deals as Co-Manager:
Principal Amount: $1,805.0 million
Ranking: 25th
Number of Issues: 8
14 Cain Brothers & Co.
Address: 452 Fifth Ave., 25th Fl.
New York, NY 10018
Telephone: (212) 869-5600
Facsimile: (212) 869-6418
Web Site: None
E-Mail: cainbrosny
Head of Public Finance: James E. Cain
Public Finance Bankers: 12
Municipal Traders: 2
Retail Sales Personnel: None
Institutional Sales Personnel: 7
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $305.9 million
Number of Issues: 12
Deals as Co-Manager:
Principal Amount: $401.1 million
Ranking: 40th
Number of Issues: 13
15 Advest Inc.
Address: 12 E. 49th St.
New York, NY 10017
Telephone: (212) 584-4142
Facsimile: (212) 584-4213
Web Site: www.advest.com
E-Mail: david.weprin
Head of Public Finance: David I. Weprin
Public Finance Bankers: 3
Municipal Traders: 4
Retail Sales Personnel: 5
Institutional Sales Personnel: 10
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $76.3 million
Number of Issues: 4
Deals as Co-Manager:
Principal Amount: $6,433.3 million
Ranking: 20th
Number of Issues: 60
16 George K. Baum & Co.
Address: 120 Broadway, Suite 3040
New York, NY 10271
Telephone: (212) 374-9200
Facsimile: (212) 374-9208
Web Site: None
E-Mail: None
Head of Public Finance: Joseph C. Bosch
Public Finance Bankers: 3
Municipal Traders: None
Retail Sales Personnel: None
Institutional Sales Personnel: None
Other Offices in New York: Cold Spring Hills
Deals as Lead Manager:
Principal Amount: $21.4 million
Number of Issues: 4
Deals as Co-Manager:
Principal Amount: $1,019.2 million
Ranking: 32d
Number of Issues: 11
17 Greenwich Partners, LLC
Address: 1 Pickwick Plaza, Suite 250
Greenwich, CT 06830
Telephone: (203) 625-7700
Facsimile: (203) 625-3434
Web Site: None
E-Mail: greenwichpartners
Head of Public Finance: Robert E. Christie
Public Finance Bankers: 6
Municipal Traders: None
Retail Sales Personnel: None
Institutional Sales Personnel: None
Offices in New York: Albany
Deals as Lead Manager:
Principal Amount: $19.8 million
Number of Issues: 2
Deals as Co-Manager:
Principal Amount: $2,870.2 million
Ranking: 24th
Number of Issues: 19
18 First Chicago Capital Markets Inc.
Address: One First National Plaza, 7th Fl.
Suite 0826
Chicago, IL 60670
Telephone: (312) 732-6955
Facsimile: (312) 732-2343
Web Site: www.fccm.com
E-Mail: neil a pritz
Head of Public Finance: Neil Pritz
Public Finance Bankers: 3
Municipal Traders: 2
Retail Sales Personnel: 68
Institutional Sales Personnel: 6
Offices in New York: None
Deals as Lead Manager:
Principal Amount: $19.0 million
Number of Issues: 1
Deals as Co-Manager:
Principal Amount: $169.0 million
Ranking: 46th
Number of Issues: 2
19 Herbert J. Sims & Co.
Address: 1221 Post Rd.
Westport, CT 06880-5430
Telephone: (203) 221-5000
Facsimile: (203) 226-8839
Web Site: None
E-Mail: bonds
Head of Public Finance: William B. Sims
Public Finance Bankers: 12
Municipal Traders: 3
Retail Sales Personnel: 6
Institutional Sales Personnel: 6
Offices in New York: None
Deals as Lead Manager:
Principal Amount: $18.1 million
Number of Issues: 2
Deals as Co-Manager:
Principal Amount: $34.6 million
Ranking: 70th
Number of Issues: 4
20 Edward Jones
Address: 12555 Manchester Rd.
St. Louis, MO 63131
Telephone: (314) 515-2000
Facsimile: (314) 515-2674
Web Site: www.edwardjones.com
E-Mail: None
Head of Public Finance: Alan Wright
Public Finance Bankers: 5
Municipal Traders: 6
Retail Sales Personnel: 40
Institutional Sales Personnel: None
Offices in New York: None
Deals as Lead Manager:
Principal Amount: $14.0 million
Number of Issues: 1
Deals as Co-Manager:
Principal Amount: $14.0 million
Ranking: 76th
Number of Issues: 1
21 CIBC Oppenheimer Corp.
Address: World Financial Center, Oppenheimer Tower
200 Liberty St., 8th Fl.
New York, NY 10281
Telephone: (212) 667-5250
Facsimile: (212) 667-5302
Web Site: www.oppenheimer.com
E-Mail: info
Head of Public Finance: William H. Frazier
Public Finance Bankers: 2
Municipal Traders: 12
Retail Sales Personnel: 275
Institutional Sales Personnel: 20
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $13.8 million
Number of Issues: 2
Deals as Co-Manager:
Principal Amount: $7,211.6 million
Ranking: 18th
Number of Issues: 166
22 Samuel A. Ramirez & Co.
Address: 61 Broadway
New York, NY 10006
Telephone: (212) 248-0500
Facsimile: (212) 248-0528
Web Site: None
E-Mail: sarbonds
Head of Public Finance: George W. Graham
Public Finance Bankers: 2
Municipal Traders: 6
Retail Sales Personnel: 14
Institutional Sales Personnel: 12
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $12.3 million
Number of Issues: 1
Deals as Co-Manager:
Principal Amount: $10,748.0 million
Ranking: 14th
Number of Issues: 154
23 BNY Capital Markets Inc.
Address: One Wall St., 17th Fl.
New York, NY 10286
Telephone: (212) 635-6345
Facsimile: (212) 635-6550
Web Site: None
E-Mail: None
Head of Public Finance: Gary Shumeyer
Public Finance Bankers: 1
Municipal Traders: 2
Retail Sales Personnel: 5
Institutional Sales Personnel: 2
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $8.6 million
Number of Issues: 6
Deals as Co-Manager:
Principal Amount: $1,014.3
Ranking: 33d
Number of Issues: 41
24 Hutchinson, Shockey, Erley & Co.
Address: 222 W. Adams, Suite 1700
Chicago, IL 60606
Telephone: (312) 443-1565
Facsimile: (312) 443-7225
Web Site: None
E-Mail: None
Head of Public Finance: Richard A. Funke
Public Finance Bankers: 7
Municipal Traders: 2
Retail Sales Personnel: 8
Institutional Sales Personnel: 8
Offices in New York: None
Deals as Lead Manager:
Principal Amount: $7.0 million
Number of Issues: 1
Deals as Co-Manager:
Principal Amount: $7.0 million
Ranking: 79th
Number of Issues: 1
25 Evergreen Bank
Address: 237 Glen St.
Box 311
Glens Falls, NY 12801-3507
Telephone: (518) 792-1151
Facsimile: (518) 792-4837
Web Site: www.evergreenbank.com
E-Mail: gfredette
Head of Public Finance: George L. Fredette
Public Finance Bankers: 3
Municipal Traders: None
Retail Sales Personnel: None
Institutional Sales Personnel: None
Other Offices in New York: None
Deals as Lead Manager:
Principal Amount: $5.0 million
Number of Issues: 2
Deals as Co-Manager:
Principal Amount: $5.0 million
Ranking: 80th
Number of Issues: 2
