FORM G-37. Name of Regulated Entity: Capital Markets Advisors LLC. Report Period: Third Quarter of 2017
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1 Name of Regulated Entity: Capital Markets Advisors LLC Report Period: Third Quarter of 2017 I. CONTRIBUTIONS made to officials of a municipal entity (list by state) Complete name, title (including any city/county/state or other political subdivision) of municipal entity official Contributions by each contributor category (i.e., for purposes of this form, dealer, dealer controlled PAC, municipal finance professional, municipal finance professional controlled PAC, non-mfp executive officer, municipal advisor, municipal advisor controlled PAC, municipal advisor professional, municipal advisor professional controlled PAC, and non-map executive officer). For each contribution, list contribution amount and contributor category (disclose all applicable categories for each contributor). (For example, $500 contribution by non-mfp executive officer) If any contribution is the subject of an automatic exemption pursuant to Rule G-37(j), list amount of contribution and date of such automatic exemption. II. PAYMENTS made to political parties of states or political subdivisions (list by state) Complete name (including any city/county/state or other political subdivision) of political party Payments by each contributor category
2 III. CONTRIBUTIONS made to bond ballot campaigns (list by state) A. Contributions Official name of bond ballot campaign and jurisdiction (including city/county/state or other political subdivision) for which municipal securities would be issued and the name of the entity issuing the municipal securities Contributions, including the specific date the contributions were made, by each contributor category B. Reimbursement for Contributions List below any payments or reimbursements, related to any disclosed bond ballot contribution, received by each dealer, municipal finance professional, non-mfp executive officer, municipal advisor, municipal advisor professional, or non-map executive officer from any third party, including the amount paid and the name of the third party making such payments or reimbursements.
3 IV. MUNICIPAL ENTITIES with which the regulated entity has engaged in municipal securities business or municipal advisory business (list by state) A. Municipal Securities Business Complete name of municipal entity and city/county Type of municipal securities business (negotiated underwriting, private placement, financial advisor, or remarketing agent) B. Municipal Advisory Business See Attachment Complete name of municipal entity and city/county Type of municipal advisory business (advice or solicitation) (and in the case of municipal advisory business engaged in by a municipal advisor third-party solicitor, the name of the third party on behalf of which business was solicited and the nature of the business solicited (municipal securities business, municipal advisory business or investment advisory services)) C. Ballot-Approved Offerings Full name of the municipal entity and full issue description of any primary offering resulting from the bond ballot campaign to which each contributor category has made a contribution and the reportable date of selection on which the regulated entity was selected to engage in the municipal securities business or municipal advisory business. Full Name of Municipal Entity Full Issue Description Reportable Date of Selection
4 Signature: electronic Date: Oct 2, 2017 Name (must be officer of regulated entity): Richard Ganci Address: 11 Grace Ave, Great Neck, NY Phone: Submit to the Municipal Securities Rulemaking Board a completed form quarterly by due date (specified by the MSRB)
5 3rd Quarter (July to September) Issuer Type Business Type Par Amount Sale Date Closing Date NY Grand Island Town BAN Advice 22,592, Sep 11-Oct NY New Rochelle City Bonds Advice 9,000, Sep 4-Oct NY North Shore CSD TAN Advice 5,000, Sep 5-Oct NY Mahopac CSD BAN Advice 350, Sep 6-Oct NY Sewanhaka CHSD TAN Advice 9,000, Sep 3-Oct NY Babylon UFSD TAN Advice 7,000, Sep 5-Oct NY Carmel Town Bonds Advice 1,475, Sep 5-Oct NY Carmel Town BAN Advice 3,869, Sep 5-Oct NY Hewlett-Woodmere UFSD Ref. Bonds Advice 10,215, Sep 17-Oct NY Syracuse City Taxable Bonds Advice 2,250, Sep 5-Oct NY Syracuse City RAN Advice 51,805, Sep 5-Oct NY Syracuse City RAN Advice 43,900, Sep 5-Oct NY Massapequa UFSD TAN Advice 3,800, Sep 28-Sep NY Walton CSD RAN Advice 759, Sep 4-Oct NY Amityville UFSD TAN Advice 11,000, Sep 28-Sep NY Copiague UFSD TAN Advice 18,500, Sep 27-Sep NY Herricks UFSD TAN Advice 7,000, Sep 27-Sep NY Herricks UFSD BAN Advice 1,800, Sep 27-Sep NY Sachem CSD TAN Advice 65,000, Sep 28-Sep NY Patchogue-Medford UFSD TAN Advice 32,500, Sep 28-Sep NY Jericho UFSD TAN Advice 9,500, Sep 28-Sep NY Manhasset UFSD TAN Advice 7,500, Sep 28-Sep NY Hauppauge UFSD TAN Advice 24,000, Sep 27-Sep NY North Hempstead Town Bonds Advice 21,677, Sep 27-Sep NY North Hempstead Town Bonds Advice 4,750, Sep 27-Sep NY North Hempstead Town BAN Advice 4,729, Sep 27-Sep NY Ossining Village BAN Advice 4,752, Sep 28-Sep NY Dutchess County Bonds Advice 5,000, Sep 26-Sep NY Seaford UFSD Ref. Bonds Advice 10,820, Sep 4-Oct NY Seaford UFSD TAN Advice 5,000, Sep 21-Sep NY Hastings-on-Hudson Village BAN Advice 1,410, Sep 28-Sep NY Jamestown City BAN Advice 400, Sep 21-Sep NY Bay Shore UFSD TAN Advice 35,000, Sep 27-Sep NY Elwood UFSD TAN Advice 11,000, Sep 20-Sep NY Cheektowaga CSD TAN Advice 995, Sep 20-Sep NY Hempstead UFSD TAN Advice 18,000,000 Negotiated 14-Sep NY Middletown City BAN Advice 9,700,000 7-Sep 20-Sep NY New Paltz Village BAN Advice 2,825,680 6-Sep 20-Sep NY Southampton UFSD TAN Advice 17,500,000 6-Sep 15-Sep NY Long Beach City BAN Advice 21,427,370 6-Sep 14-Sep NY Oyster Bay-East Norwich CSD TAN Advice 5,200,000 6-Sep 14-Sep NY Amherst CSD Bonds Advice 3,933,653 6-Sep 13-Sep NY Kings Park CSD TAN Advice 15,500,000 5-Sep 14-Sep NY East Quogue UFSD TAN Advice 6,500,000 5-Sep 14-Sep NY Bronxville UFSD Bonds Advice 4,835, Aug 14-Sep NY Hendrick Hudson CSD BAN Advice 1,419, Aug 14-Sep NY Galway CSD Bonds Advice 436, Aug 14-Sep NY Monticello Village BAN Advice 2,125, Aug 13-Sep NY Glen Cove City Bonds Advice 7,263, Aug 12-Sep NY Port Jervis City Bonds Advice 4,694, Aug 12-Sep NY Great Neck Estates Village Bonds Advice 500, Aug 12-Sep
6 NY Harborfields CSD TAN Advice 18,000, Aug 6-Sep NY Harborfields CSD BAN Advice 8,800, Aug 6-Sep NY BOCES of Orange and Ulster Counties RAN Advice 13,000, Aug 7-Sep NY Erie County FSA Ref. Bonds Advice 62,745,000 Negotiated 14-Sep NY Erie County FSA Bonds Advice 92,115,000 Negotiated 14-Sep NY WappingersCSD BAN Advice 13,560, Aug 1-Sep NY Longwood CSD TAN Advice 35,500, Aug 7-Sep NY West Babylon UFSD Bonds Advice 19,000, Aug 7-Sep NY Rockville Centre UFSD TAN Advice 11,500, Aug 31-Aug NY Tonawanda Town BAN Advice 22,082, Aug 30-Aug NY Elmira CSD BAN Advice 10,000, Aug 30-Aug NY East Hampton Town Bonds Advice 3,190, Aug 24-Aug NY East Hampton Town BAN Advice 20,330, Aug 24-Aug NY East Hampton Town BAN Advice 4,320, Aug 7-Sep NY Niagara Falls City Bonds Advice 5,243, Aug 30-Aug NY Niagara Falls City Taxable Bonds Advice 2,850, Aug 30-Aug NY North Tonawanda CSD BAN Advice 18,787, Aug 24-Aug NY Middletown City BAN Advice 6,027, Aug 29-Aug NY Lakeland CSD BAN Advice 3,374, Aug 24-Aug NY Stony Point Town BAN Advice 1,484, Aug 22-Aug NY Hempstead Village Ref. Bonds Advice 7,830,000 9-Aug 30-Aug NY Yonkers City Bonds Advice 36,725,000 Negotiated 6-Sep NY Yonkers City Bonds Advice 20,405,000 Negotiated 6-Sep NY Yonkers City Ref. Bonds Advice 72,120,000 Negotiated 6-Sep NY Yonkers City Ref. Bonds Advice 17,255,000 Negotiated 6-Sep NY Mount Vernon CSD Bonds Advice 50,070,000 8-Aug 17-Aug NY Mount Vernon CSD BAN Advice 2,990,000 8-Aug 17-Aug NY Pelham UFSD Bonds Advice 3,000,000 8-Aug 17-Aug NY Ossining Town BAN Advice 2,675,005 8-Aug 17-Aug NY East Rockaway UFSD Ref. Bonds Advice 1,775,000 3-Aug 24-Aug NY Corning CSD BAN Advice 14,455,000 3-Aug 17-Aug NY Chautauqua CSD BAN Advice 10,250,000 2-Aug 16-Aug NY Center Moriches UFSD BAN Advice 8,270, Jul 8-Aug NY Center Moriches UFSD TAN Advice 8,400, Jul 8-Aug NY Cheektowaga Town Bonds Advice 5,700, Jul 8-Aug NY Sag Harbor UFSD BAN Advice 3,300, Jul 3-Aug NY Ardsley Village BAN Advice 2,366, Jul 2-Aug NY East Aurora UFSD BAN Advice 7,321, Jul 1-Aug NY Port Washington UFSD BAN Advice 25,500, Jul 8-Aug NY Port Washington UFSD TAN Advice 16,000, Jul 8-Aug NY West Babylon UFSD TAN Advice 15,000, Jul 3-Aug NY West Babylon UFSD BAN Advice 9,425, Jul 3-Aug NY Mahopac CSD BAN Advice 1,020, Jul 3-Aug NY Orchard Park CSD Bonds Advice 790, Jul 3-Aug NY Lockport CSD Bonds Advice 17,920, Jul 3-Aug NY Newburgh City BAN Advice 7,140, Jul 3-Aug NY Eastport-South Manor CSD TAN Advice 21,800, Jul 28-Jul NY Rochester City BAN Advice 77,203, Jul 3-Aug NY Chautauqua Utility District BAN Advice 8,000, Jul 2-Aug NY Haldane CSD BAN Advice 950, Jul 2-Aug NY Monroe County IDA Bonds Advice 123,670,000 Negotiated 1-Aug NY Eastchester Town Bonds Advice 4,572, Jul 1-Aug NY Orchard Park Town BAN Advice 5,700, Jul 28-Jul NY Clarkstown CSD BAN Advice 15,000, Jul 27-Jul
7 NY Clarkstown CSD TAN Advice 10,000, Jul 27-Jul NY Dobbs Ferry UFSD Bonds Advice 14,269, Jul 27-Jul NY West Seneca Town Bonds Advice 5,090, Jul 26-Jul NY West Seneca Town BAN Advice 30,626, Jul 26-Jul NY Lancaster Town BAN Advice 4,900, Jul 26-Jul NY West Islip UFSD TAN Advice 20,000, Jul 25-Jul NY West Islip UFSD BAN Advice 13,000, Jul 25-Jul NY Harborfields CSD Ref. Bonds Advice 8,715, Jul 3-Aug NY Wyandanch UFSD TAN Advice 12,000, Jul 20-Jul NY Erie County Fiscal Stability Authority Bonds Advice 32,075,000 Negotiated 18-Jul NY Erie County Fiscal Stability Authority Bonds Advice 11,590,000 Negotiated 18-Jul NY Kings Park CSD BAN Advice 10,500, Jul 18-Jul NY Lewisboro Town BAN Advice 430, Jul 14-Jul NY Bethlehem CSD BAN Advice 3,808, Jul 19-Jul NY Cheektowaga-Sloan UFSD Bonds Advice 14,529, Jul 20-Jul NY Clarence Town Bonds Advice 2,011, Jul 20-Jul NY Clarence Town BAN Advice 13,437, Jul 20-Jul NY Hempstead Village BAN Advice 2,875, Jul 20-Jul NY Erie 1 BOCES RAN Advice 5,000, Jul 21-Jul NY North Bellmore UFSD Bonds Advice 8,900,000 6-Jul 17-Jul NY Islip Town BAN Advice 19,967, Jun 7-Jul NY Brewster CSD BAN Advice 39,670, Jun 13-Jul NY East Ramapo CSD TAN Advice 16,000, Jun 13-Jul NY Mamaroneck UFSD Bonds Advice 9,340, Jun 13-Jul NY Haldane CSD BAN Advice 796, Jun 13-Jul NY Bedford CSD BAN Advice 31,238, Jun 13-Jul NY Bedford CSD BAN Advice 1,657, Jun 13-Jul NY Rye CSD BAN Advice 1,800, Jun 6-Jul NY West Seneca FD No. 2 BAN Advice 8,000, Jun 11-Jul NY Lackawanna CSD BAN Advice 7,600, Jun 11-Jul NY New Rochelle CSD BAN Advice 38,000, Jun 13-Jul NY New Rochelle CSD BAN Advice 1,225, Jun 13-Jul NY Amenia Town BAN Advice 1,087, Jun 13-Jul NY Oceanside UFSD Bonds Advice 7,500, Jun 6-Jul NY Oceanside UFSD TAN Advice 26,000, Jun 6-Jul NY Tarrytown UFSD Bonds Advice 8,530, Jun 10-Jul NY Elmsford UFSD BAN Advice 8,652, Jun 7-Jul NY Orchard Park CSD BAN Advice 1,387, Jun 6-Jul NY East Aurora UFSD BAN Advice 494, Jun 6-Jul NY Kiyras Joel Village Bonds Advice 90, Jun 6-Jul NY Hamburg Town Bonds Advice 4,460, Jun 5-Jul NY Hamburg Town BAN Advice 3,320, Jun 5-Jul NY Wappingers CSD TAN Advice 6,500, Jun 5-Jul NY Wappingers CSD BAN Advice 3,765, Jun 5-Jul NY Wappingers CSD Bonds Advice 37,670, Jun 5-Jul
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