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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 Sort descending MSRB ID State Registrant Type
Neuberger Berman Trust Co National Association K1048 NY Municipal Advisor
Representative Name
Berman, Edward
Principal Name
Berman, Edward
NHA Advisors, LLC K0772 CA Municipal Advisor
Principal Name
Scriven, Eric
Nickel Hayden Advisors, LLC K1319 TX Municipal Advisor
Representative Name
Mejia, Rudy
Principal Name
Mejia, Rudy
North Slope Capital Advisors K0201 CO Municipal Advisor
Principal Name
Chichester, Stephanie
Northeast Municipal Advisors LLC K1140 ME Municipal Advisor
Representative Name
Ranaghan, Richard
Principal Name
Ranaghan, Richard
Northland Securities, Inc. A4861 MN Municipal Advisor/Broker Dealer
Northwest Municipal Advisors, Inc. K0243 WA Municipal Advisor
Not For Profit Capital Strategies LLC K0511 NC Municipal Advisor
Representative Name
Crouch, Edward
Principal Name
Crouch, Edward
Nutshell Associates, LLC K1271 MD Municipal Advisor
Representative Name
Sweeney, Elizabeth
Principal Name
Sweeney, Elizabeth
NW Financial Group, LLC K0438 NJ Municipal Advisor
O. W. Krohn & Associates LLP K0378 IN Municipal Advisor
Principal Name
Krohn, Otto
Oakdale Municipal Advisors, LLC K1243 TN Municipal Advisor
Representative Name
Graham, Emily
Principal Name
Graham, Emily
Omnicap Group LLC K0142 CA Municipal Advisor
OP Capital Advisors, LLC K1148 MA Municipal Advisor
Principal Name
Shea, Toby
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
P3 Municipal Advisors LLC K1300 TX Municipal Advisor
Representative Name
Meister, Richard
Principal Name
Meister, Richard
Pearl Creek Advisors, LLC K1274 VA Municipal Advisor
Representative Name
Franklin, John
Principal Name
Franklin, John
Perseverance Capital Advisors LLC K1187 VA Municipal Advisor
Representative Name
Neal, Tina
Principal Name
Neal, Tina
Peter J. Ross K0253 CA Municipal Advisor
Representative Name
Ross, Peter
Principal Name
Ross, Peter
Peters Franklin, LTD K0303 IN Municipal Advisor
Representative Name
Franklin, Nichole
Peters, Jeffrey
PFM CALIFORNIA ADVISORS LLC K1277 CA Municipal Advisor
Principal Name
Berwanger, Michael
PFM Financial Advisors LLC K1162 PA Municipal Advisor
Representative Name
Alif, Faisal
Allen, Karlos
Anderson, David
Arndt, Jennifer
Baldwin, Brooke
Ballard, Jennifer
Bamber, Christopher
Bass, Jeremy
Berwanger, Michael
Bhavsar, Rahul
Bilal, Zainab
Bonow, John
Borgstrom, Ryan
Bouwmeester, Florien
Boyer, Karli
Breen, Joseph
Brown, Andrew
Brown, Albert
Brown, Eric
Bruch, Carolyn
Burmeister, Jon
Callender, Ricardo
Carbone, James
Carlson, Scott
Carter, Joanne
Carter, Brian
Case, William
Casperson, Heather
Charbanou, Omar
Chin, Samantha
Choi, Christine
Conway, Ryan
Cravens, Thomas
Crotty, John
Dabreo, Joseph
Daniel, Elise
Davidow, Lee
Davidson, Margaret
Deis, Dale
Dennis, Michael
Dilly, Frederick
Dinkla, Logan
Dowling, Kevin
Doyle, Jamie
Duggan, Daniel
Dunham, Dexter
Dunn, Miranda
Estrada, Andrew
Eversmeyer, Annalyssa
Fraizer, Michael
Frey, John
Frey, Sarah
Gallucci, Brian
Gawel, Joshua
Gerlach, Susanne
Glover, James
Go, Catherine
Gonzalez, David
Good, Sarah
Gordon, George
Griffiths, Kristine
Guilmino, Brad
Halperin, Carmel
Hanson, Kristin
Hartman, Daniel
Heidel, Eric
Hodge, Darren
Holley, Catherine
Houghton, Louise
Howe, Laura
Hughes, Melissa
Jacobson, Shannon
Jones, Nicholas
Kapenstein, Benjamin
Kardish, Daniel
Kedem, Karen
Kelley, Maritza
Khamsyvoravong, Xaykham
Kim, Dong
Kozloff, Daniel
Labuda, Melissa
Lee, Shanon
Lemieux, Steven
Li, Xiaoyun
Lomel, Elise
Lover, Christopher
Lowe, Lauren
Lugo Rudner, Mara
Mace, Michael
Maceroni, Stephen
Magarity, Mathew
Marshall, Margaret
Martinez, Joshua
Masvidal, Sergio
Matte, June
Matthews, Charles
Mccoy, Joshua
Mcdonald-Blanchett, Kari
Mclendon, Brandy
Mcnamara, Jenna
Mcpeek, Kevin
Melio, Mark
Miller, David
Mitchell, Jessica
Moore, Garrett
Moore, Sarah
Moran, Casey
Murphy, John
Nappi, Cailin
Naughton, Robert
Niedfeldt, Jeremy
Oblites, Rebecca
Opakunle, Fatimoh
Patel, Mudra
Patterson, Kirsten
Peloquin-Dodd, Mary
Perry-Glickstein, Rebecca
Pham, Tiffany
Plenzler, Kevin
Porter, Angela
Powell, Kristina
Pugh, Bethany
Remig, Bradley
Rich, Robert
Roberts, Blake
Rocca, Nicklas
Rotty, Kevin
Rudroff, Matthew
Santamaria, Julie
Scattini, Dominic
Schlesinger, James
Schmidt, Erica
Schnackenberg, Matthew
Schoenfeld, Matthew
Seng, Wen
Shan, Liang
Shearer, Scott
Shellenberger, Peter
Silbert, Miles
Singer, Nathaniel
Singer, Isabel
Smith, Trina
Stauder, Paul
Stewart, James
Stewart, Geoffrey
Stoffel, Matthew
Swartz, Carrie
Thomas, Nathan
Toepfer, Thomas
Tompkins, Dario
Trejo, Jaime
Upcraft, Charles
Van Der Hyde, Katie
Varona, Pedro
Visalli, Joseph
Wahl, Sean
Waley, Dennis
Walsh, Keely
Warren, Whitney
Watson, Nathaniel
Wilder, David
Williard, Zachary
Winterkamp, Frederick
Wright, Aaron
Wuollet, Anne
Yim, Hyejung
Zhang, Kathleen
PFM Swap Advisors LLC K0949 PA Municipal Advisor
Phoenix Advisors, LLC K0117 NJ 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. 

Series 50-Qualified Representatives

Series 50-Qualified Representatives 

The Series 50-Qualified Representatives tab displays the names of individuals who have passed the Series 50 examand are associated with an MSRB-registered municipal advisor firm.MSRB-registered municipal advisor firms must file a Form MA-I with the SEC which denotes that such individual(s) who are Series 50 qualified are engaged in municipal advisory activities on behalf of the municipal advisor firm. Pursuant to MSRB Rule G-3, only those associated persons who have passed the Series 50 exam are permitted to engage in municipal advisory activities or directly engage in the management, direction or supervision of the municipal advisory activities of the municipal advisor and its associated persons.3

The links on this tab facilitates access to the required disclosures that municipal advisor firms make to the SEC on SEC Forms MA and MA-I. These disclosures may include information about regulatory actions, criminal actions, and other matters, if any. Read more on Municipal Advisor Professional Qualification and Examination Requirements.

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

Only those who have passed the Series 50 exam and are associated with an MSRB-registered municipal advisor firm can be found in the list below.

1 The Series 50 exam is designed to test broad-based knowledge of the business and regulations applicable to municipal advisory activities. The examination is not designed to specifically test each specialized functional role or service that may be provided on behalf of a municipal advisor firm as defined in Section 15B of the Securities Exchange Act of 1934 and, therefore, does not confer the degree of knowledge and expertise needed to provide a municipal entity or obligated person client with informed advice as required under MSRB Rule G-42.

2 The Series 50-Qualified Representatives’ qualification status is updated weekly, generally on the first business day of the week, and is dependent on the quality of the data a municipal advisor firm submits to the SEC on SEC Form MA-I. If your firm believes that the name of a qualified associated person is not displayed and you have confirmed that a Form MA-I is on file for the individual, please contact MSRB Support at 202-838-1330.

Since the Series 50 exam is a pre-requisite to becoming qualified as a municipal advisor principal, individuals who are Series 54 qualified are also displayed on the Series 50-Qualified Representatives tab.

Series 54-Qualified Principals

Series 54-Qualified Principals 

The Series 54-Qualified Principals tab displays the names of individuals who have passed the Series 54 examand are associated with an MSRB-registered municipal advisor firm.Pursuant to MSRB Rule G-3, only those associated persons who have passed the pre-requisite exam, the Series 50 exam, and the Series 54 exam,3 are duly qualified as a municipal advisor principal and, thus, permitted to engage in the management, direction or supervision of the municipal advisory activities of the municipal advisor and its associated persons.

All MSRB-registered municipal advisor firms had to have at least one person appropriately qualified as a municipal advisor principal. Notwithstanding, every individual who meets the definition of a municipal advisor principal, as defined under MSRB Rule G-3(e), must be appropriately qualified as a municipal advisor principal; and pursuant to MSRB Rule G-44 each municipal advisor firm must designate one or more municipal advisor principals to carry out the responsibilities required by the rule.

The links on this tab facilitates access to the required disclosures that municipal advisor firms make to the SEC on SEC Forms MA and MA-I. These disclosures may include information about regulatory actions, criminal actions and other matters, if any. Read more on the Municipal Advisor Principal Qualification Examination (Series 54 Exam).

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

Only those who have passed the Series 54 exam and are associated with an MSRB-registered municipal advisor firm can be found in the list below.

1 The Series 54 exam is designed to test that a person seeking to qualify as a municipal advisor principal satisfies a specified level of competency and knowledge by measuring a person’s ability to apply the applicable federal securities laws, including MSRB rules to the municipal advisory activities of a municipal advisor.

2 The Series 54-Qualified Principals’ qualification status is updated weekly, generally on the first business day of the week, and is dependent on the quality of the data a municipal advisor firm submits to the SEC on SEC Form MA-I. If your firm believes that the name of a qualified associated person is not displayed and you have confirmed that a Form MA-I is on file for the individual, please contact MSRB Support at 202-838-1330.

3 Since the Series 50 exam is a pre-requisite to becoming qualified as a municipal advisor principal, individuals who are Series 54 qualified are also displayed on the Series 50-Qualified Representatives tab.