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
Thornton Farish Inc. A1357 AL Municipal Advisor/Broker Dealer
Principal Name
Cardinal, Louis
Waters and Company, LLC K0282 AL Municipal Advisor
Representative Name
Waters, Gerald
Principal Name
Waters, Gerald
Porter, White & Company, Inc. A0742 AL Municipal Advisor
Rice Advisory LLC K0826 AL Municipal Advisor
Stephens Inc. A1303 AR Municipal Advisor/Broker Dealer
First Security Municipal Advisors, Inc. K1339 AR Municipal Advisor
Crews & Associates, Inc. A0333 AR Municipal Advisor/Broker Dealer
RSI Group LLC K1034 AR Municipal Advisor
Representative Name
Mobley, Pamela
Principal Name
Mobley, Pamela
Iron Lion LLC K1289 AZ Municipal Advisor
Representative Name
Lawson, Nicholas
Principal Name
Lawson, Nicholas
Launch Development Finance Advisors, LLC K1252 AZ Municipal Advisor
MGIC Corp. K0520 AZ Municipal Advisor
Representative Name
Rasmussen, Robert
Principal Name
Rasmussen, Robert
FTG Advisors, LLC K1267 AZ Municipal Advisor
Representative Name
Carroll, Irene
Principal Name
Carroll, Irene
Agentis Capital Advisors Ltd. K1323 BC Municipal Advisor
Principal Name
Van Belle, Henry
Sperry Capital Inc. K0514 CA Municipal Advisor
Goodwin Consulting Group, Inc. K1241 CA Municipal Advisor
Principal Name
Goodwin, Susan
Government Financial Strategies inc. K0127 CA Municipal Advisor
Steven Gortler K0871 CA Municipal Advisor
Representative Name
Gortler, Steven
Principal Name
Gortler, Steven
GPM Municipal Advisors, LLC K0980 CA Municipal Advisor
Grigsby & Associates, Inc. A1706 CA Municipal Advisor
Representative Name
Grigsby, Calvin
Principal Name
Grigsby, Calvin
Harrell & Company Advisors, LLC K0336 CA Municipal Advisor
Representative Name
Harrell, Suzanne
Principal Name
Harrell, Suzanne
Harris & Associates, Inc. K1273 CA Municipal Advisor
Principal Name
Yew, Joseph
Hedge Point Financial, LLC K1114 CA Municipal Advisor
Representative Name
Momich, Joseph
Principal Name
Momich, Joseph
HG Wilson Municipal Finance Inc. K0360 CA Municipal Advisor
Representative Name
Wilson, Herman
Principal Name
Wilson, Herman
Institutional Bond Network LLC. A7419 CA Municipal Advisor/Broker Dealer
Principal Name
Hagge, Erik
Urban Futures Incorporated K0256 CA 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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