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.
Firm Name Sort descending | MSRB ID | State | Registrant Type | ||||
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KeyBank Municipal Advisor Department | K0988 | OH | Municipal Advisor | ||||
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KEYGENT LLC | K0254 | CA | Municipal Advisor | ||||
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Keystone MA Group, LLC | K1332 | PA | Municipal Advisor | ||||
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Kidwell & Co | K0169 | TN | Municipal Advisor | ||||
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Kings Financial Consulting Incorporated | K0251 | IL | Municipal Advisor | ||||
Kipling Jones & Co., Ltd. | A6881 | TX | Municipal Advisor | ||||
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KLEINPETER FINANCIAL GROUP LLC | K1311 | IN | Municipal Advisor | ||||
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Knight & Day Group, LLC | K0503 | TX | Municipal Advisor | ||||
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KNN Public Finance, LLC | K1151 | CA | Municipal Advisor | ||||
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Kosan Associates | K0269 | FL | Municipal Advisor | ||||
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Kosmont Transactions Services, Inc. | K1256 | CA | Municipal Advisor | ||||
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Kovack Municipal Group LLC | K1329 | FL | Municipal Advisor | ||||
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KPM Financial, LLC | K0836 | NC | Municipal Advisor | ||||
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L.J. Hart & Company | A4071 | MO | Municipal Advisor/Broker Dealer | ||||
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Lamont Financial Services Corporation | K0110 | NJ | Municipal Advisor | ||||
Larsen Wurzel & Associates, Inc. | K0689 | CA | Municipal Advisor | ||||
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Larson Consulting Services, LLC | K0712 | FL | Municipal Advisor | ||||
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Latitude Financial Management, LLC | K1297 | MA | Municipal Advisor | ||||
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Launch Development Finance Advisors, LLC | K1252 | AZ | Municipal Advisor | ||||
Leora Consulting LLC | K0411 | WA | Municipal Advisor | ||||
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Liberty Capital Services, LLC | K0155 | NY | Municipal Advisor | ||||
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Live Oak Public Finance, LLC | K1130 | TX | Municipal Advisor | ||||
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Local Government Solutions, LLC | K1265 | NY | Municipal Advisor | ||||
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London Witte Group LLC | K0379 | IN | Municipal Advisor | ||||
Lone Star PACE LLC | K1213 | TX | 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.