Municipal Advisor Firms

MSRB-Registered Municipal Advisor Firms and Qualified Representatives and Principals

The Municipal Advisor Firms tab displays municipal advisor firms registered with the MSRB with at least one individual associated with the firm who has passed the MSRB’s Municipal Advisor Representative Qualification Examination (Series 50).1

Municipal advisor firms must have at least one individual appropriately qualified who has passed the Series 50 exam in order to engage in municipal advisory activities. Municipal market participants should closely review this list as part of evaluating the qualifications of a municipal advisor firm. Any entity that is engaging in municipal advisory activities on behalf of a municipal entity or obligated person client without having taken the necessary steps to become a duly registered municipal advisor firm – meaning having filed Form MA (Application for Municipal Advisor Registration) and Form MA-I (Information Regarding Natural Persons Who Engage in Municipal Advisory Activities) with the SEC and Form A-12 with the MSRB – could be deemed an unregistered municipal advisor firm, which is a violation of MSRB rules and other federal securities laws.

The link on this tab facilitates access to the required disclosures that municipal advisor firms make to the U.S. Securities and Exchange Commission (SEC) on SEC Forms MA and MA-I. These disclosures may include information about criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation, if any. Read more about working with municipal advisors in the MSRB Education Center. 

Click on a firm or individual’s name below to access the filings made with the SEC.

Only those MSRB-registered municipal advisor firms who have at least one Series 50-qualified representative can be found in the list below.

Find a Firm:
Show entries:
Firm Name MSRB ID State Sort descending Registrant Type
Building Hope Service, LLC K1076 FL Municipal Advisor
Principal Name
Moreno, Ricardo
MW Financial Advisory Services LLC K1195 FL Municipal Advisor
Representative Name
Wortman, Marissa
Principal Name
Wortman, Marissa
Clary Consulting Co. K0635 FL Municipal Advisor
Optimal Capital Group, LLC K0714 FL Municipal Advisor
Representative Name
Salimena, Mark
Oyster River Capital LP K0364 FL Municipal Advisor
Representative Name
Labbe, Patrick
Principal Name
Labbe, Patrick
Community Concepts Group, Inc. K1215 FL Municipal Advisor
Representative Name
Leigh, Susan
Principal Name
Leigh, Susan
DIXWORKS LLC K0102 FL Municipal Advisor
Representative Name
Dix, Dennis
Principal Name
Dix, Dennis
Raymond James & Assoc., Inc. A1172 FL Municipal Advisor/Broker Dealer
Eppinger & Associates, LLC K0308 FL Municipal Advisor
Representative Name
Eppinger, Ann
Principal Name
Eppinger, Ann
Excelsior Capital Advisory Services LLC K0952 FL Municipal Advisor
Representative Name
Cullinan, Thomas
Principal Name
Cullinan, Thomas
Rockfleet Financial Services, Inc. A6991 FL Municipal Advisor/Broker Dealer
Principal Name
Corrigan, Catherine
Ford & Associates, Inc. K0525 FL Municipal Advisor
Southeastern Investment Securities, LLC K0436 FL Municipal Advisor
Representative Name
Wagner, Richard
Principal Name
Wagner, Richard
Grant & Associates LLC. K0442 GA Municipal Advisor
Representative Name
Grant, Reginald
Principal Name
Grant, Reginald
Synovus Securities Inc. A1715 GA Municipal Advisor/Broker Dealer
Principal Name
Gunderson, Gene
Terminus Municipal Advisors, LLC K1024 GA Municipal Advisor
Warbird Municipal Advisors K1225 GA Municipal Advisor
Principal Name
Melick, Jordan
K-12 Capital Advisors, LLC K1210 GA Municipal Advisor
Representative Name
Wilson, James
Principal Name
Wilson, James
Becker Capital & Finance LLC K0762 GA Municipal Advisor
Representative Name
Becker, Kenneth
Principal Name
Becker, Kenneth
Bretwood Capital Partners K0653 GA Municipal Advisor
Principal Name
Stamps, Calvin
Cedar Ventures LLC/DE K1291 GA Municipal Advisor
Principal Name
Kassouf, Karen
Trailmark Inc. A7170 GA Municipal Advisor
Representative Name
Williamson, Bruce
Principal Name
Williamson, Bruce
First Hawaiian Bank K0937 HI Municipal Advisor
PolyChronic PMC, LLC K1038 IA Municipal Advisor
Representative Name
Fichter, Clinton
Principal Name
Fichter, Clinton
Clearwater Financial, LLC K1174 ID Municipal Advisor

1 The Municipal Advisor Firm tab is updated daily and is dependent on the quality of the data a municipal advisor submits to the Securities and Exchange Commission (SEC). If you believe your firm has been incorrectly omitted from this list, please contact MSRB Support at 202-838-1330 or MSRBsupport@msrb.org.

Any entity that is engaging in municipal advisory activities on behalf of a municipal entity or obligated person client without having taken the necessary steps to become a duly registered municipal advisor firm – meaning having filed Form MA (Application for Municipal Advisor Registration) and Form MA-I (Information Regarding Natural Persons Who Engage in Municipal Advisory Activities) with the SEC and Form A-12 with the MSRB – could be deemed an unregistered municipal advisor firm, which is a violation of MSRB rules and other federal securities laws. 

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