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
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.
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
Signature: electronic Date: Oct 2, 2017 Name (must be officer of regulated entity): Richard Ganci Address: 11 Grace Ave, Great Neck, NY 11021 Phone: 716-662-3910 Submit to the Municipal Securities Rulemaking Board a completed form quarterly by due date (specified by the MSRB)
3rd Quarter - 2017 (July to September) Issuer Type Business Type Par Amount Sale Date Closing Date NY Grand Island Town BAN Advice 22,592,250 28-Sep 11-Oct NY New Rochelle City Bonds Advice 9,000,000 27-Sep 4-Oct NY North Shore CSD TAN Advice 5,000,000 27-Sep 5-Oct NY Mahopac CSD BAN Advice 350,000 27-Sep 6-Oct NY Sewanhaka CHSD TAN Advice 9,000,000 26-Sep 3-Oct NY Babylon UFSD TAN Advice 7,000,000 26-Sep 5-Oct NY Carmel Town Bonds Advice 1,475,000 26-Sep 5-Oct NY Carmel Town BAN Advice 3,869,682 26-Sep 5-Oct NY Hewlett-Woodmere UFSD Ref. Bonds Advice 10,215,000 26-Sep 17-Oct NY Syracuse City Taxable Bonds Advice 2,250,000 21-Sep 5-Oct NY Syracuse City RAN Advice 51,805,000 21-Sep 5-Oct NY Syracuse City RAN Advice 43,900,000 21-Sep 5-Oct NY Massapequa UFSD TAN Advice 3,800,000 21-Sep 28-Sep NY Walton CSD RAN Advice 759,855 20-Sep 4-Oct NY Amityville UFSD TAN Advice 11,000,000 20-Sep 28-Sep NY Copiague UFSD TAN Advice 18,500,000 20-Sep 27-Sep NY Herricks UFSD TAN Advice 7,000,000 20-Sep 27-Sep NY Herricks UFSD BAN Advice 1,800,000 20-Sep 27-Sep NY Sachem CSD TAN Advice 65,000,000 19-Sep 28-Sep NY Patchogue-Medford UFSD TAN Advice 32,500,000 19-Sep 28-Sep NY Jericho UFSD TAN Advice 9,500,000 19-Sep 28-Sep NY Manhasset UFSD TAN Advice 7,500,000 19-Sep 28-Sep NY Hauppauge UFSD TAN Advice 24,000,000 19-Sep 27-Sep NY North Hempstead Town Bonds Advice 21,677,200 19-Sep 27-Sep NY North Hempstead Town Bonds Advice 4,750,000 19-Sep 27-Sep NY North Hempstead Town BAN Advice 4,729,500 19-Sep 27-Sep NY Ossining Village BAN Advice 4,752,869 14-Sep 28-Sep NY Dutchess County Bonds Advice 5,000,000 14-Sep 26-Sep NY Seaford UFSD Ref. Bonds Advice 10,820,000 13-Sep 4-Oct NY Seaford UFSD TAN Advice 5,000,000 13-Sep 21-Sep NY Hastings-on-Hudson Village BAN Advice 1,410,000 13-Sep 28-Sep NY Jamestown City BAN Advice 400,000 13-Sep 21-Sep NY Bay Shore UFSD TAN Advice 35,000,000 12-Sep 27-Sep NY Elwood UFSD TAN Advice 11,000,000 12-Sep 20-Sep NY Cheektowaga CSD TAN Advice 995,000 12-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 4,835,000 31-Aug 14-Sep NY Hendrick Hudson CSD BAN Advice 1,419,000 31-Aug 14-Sep NY Galway CSD Bonds Advice 436,051 30-Aug 14-Sep NY Monticello Village BAN Advice 2,125,710 30-Aug 13-Sep NY Glen Cove City Bonds Advice 7,263,566 30-Aug 12-Sep NY Port Jervis City Bonds Advice 4,694,285 30-Aug 12-Sep NY Great Neck Estates Village Bonds Advice 500,000 29-Aug 12-Sep
NY Harborfields CSD TAN Advice 18,000,000 29-Aug 6-Sep NY Harborfields CSD BAN Advice 8,800,000 29-Aug 6-Sep NY BOCES of Orange and Ulster Counties RAN Advice 13,000,000 24-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 13,560,383 23-Aug 1-Sep NY Longwood CSD TAN Advice 35,500,000 23-Aug 7-Sep NY West Babylon UFSD Bonds Advice 19,000,000 23-Aug 7-Sep NY Rockville Centre UFSD TAN Advice 11,500,000 22-Aug 31-Aug NY Tonawanda Town BAN Advice 22,082,506 22-Aug 30-Aug NY Elmira CSD BAN Advice 10,000,000 22-Aug 30-Aug NY East Hampton Town Bonds Advice 3,190,000 16-Aug 24-Aug NY East Hampton Town BAN Advice 20,330,990 16-Aug 24-Aug NY East Hampton Town BAN Advice 4,320,000 16-Aug 7-Sep NY Niagara Falls City Bonds Advice 5,243,305 16-Aug 30-Aug NY Niagara Falls City Taxable Bonds Advice 2,850,000 16-Aug 30-Aug NY North Tonawanda CSD BAN Advice 18,787,374 15-Aug 24-Aug NY Middletown City BAN Advice 6,027,088 15-Aug 29-Aug NY Lakeland CSD BAN Advice 3,374,196 10-Aug 24-Aug NY Stony Point Town BAN Advice 1,484,757 10-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 8,270,000 27-Jul 8-Aug NY Center Moriches UFSD TAN Advice 8,400,000 27-Jul 8-Aug NY Cheektowaga Town Bonds Advice 5,700,000 27-Jul 8-Aug NY Sag Harbor UFSD BAN Advice 3,300,000 26-Jul 3-Aug NY Ardsley Village BAN Advice 2,366,817 26-Jul 2-Aug NY East Aurora UFSD BAN Advice 7,321,971 26-Jul 1-Aug NY Port Washington UFSD BAN Advice 25,500,000 25-Jul 8-Aug NY Port Washington UFSD TAN Advice 16,000,000 25-Jul 8-Aug NY West Babylon UFSD TAN Advice 15,000,000 25-Jul 3-Aug NY West Babylon UFSD BAN Advice 9,425,000 25-Jul 3-Aug NY Mahopac CSD BAN Advice 1,020,518 25-Jul 3-Aug NY Orchard Park CSD Bonds Advice 790,000 25-Jul 3-Aug NY Lockport CSD Bonds Advice 17,920,000 20-Jul 3-Aug NY Newburgh City BAN Advice 7,140,141 20-Jul 3-Aug NY Eastport-South Manor CSD TAN Advice 21,800,000 20-Jul 28-Jul NY Rochester City BAN Advice 77,203,000 19-Jul 3-Aug NY Chautauqua Utility District BAN Advice 8,000,000 19-Jul 2-Aug NY Haldane CSD BAN Advice 950,000 19-Jul 2-Aug NY Monroe County IDA Bonds Advice 123,670,000 Negotiated 1-Aug NY Eastchester Town Bonds Advice 4,572,167 19-Jul 1-Aug NY Orchard Park Town BAN Advice 5,700,000 19-Jul 28-Jul NY Clarkstown CSD BAN Advice 15,000,000 18-Jul 27-Jul
NY Clarkstown CSD TAN Advice 10,000,000 18-Jul 27-Jul NY Dobbs Ferry UFSD Bonds Advice 14,269,145 18-Jul 27-Jul NY West Seneca Town Bonds Advice 5,090,000 18-Jul 26-Jul NY West Seneca Town BAN Advice 30,626,170 18-Jul 26-Jul NY Lancaster Town BAN Advice 4,900,000 18-Jul 26-Jul NY West Islip UFSD TAN Advice 20,000,000 18-Jul 25-Jul NY West Islip UFSD BAN Advice 13,000,000 18-Jul 25-Jul NY Harborfields CSD Ref. Bonds Advice 8,715,000 13-Jul 3-Aug NY Wyandanch UFSD TAN Advice 12,000,000 13-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 10,500,000 11-Jul 18-Jul NY Lewisboro Town BAN Advice 430,000 11-Jul 14-Jul NY Bethlehem CSD BAN Advice 3,808,000 11-Jul 19-Jul NY Cheektowaga-Sloan UFSD Bonds Advice 14,529,685 11-Jul 20-Jul NY Clarence Town Bonds Advice 2,011,000 11-Jul 20-Jul NY Clarence Town BAN Advice 13,437,449 11-Jul 20-Jul NY Hempstead Village BAN Advice 2,875,000 11-Jul 20-Jul NY Erie 1 BOCES RAN Advice 5,000,000 11-Jul 21-Jul NY North Bellmore UFSD Bonds Advice 8,900,000 6-Jul 17-Jul NY Islip Town BAN Advice 19,967,000 29-Jun 7-Jul NY Brewster CSD BAN Advice 39,670,358 29-Jun 13-Jul NY East Ramapo CSD TAN Advice 16,000,000 29-Jun 13-Jul NY Mamaroneck UFSD Bonds Advice 9,340,000 29-Jun 13-Jul NY Haldane CSD BAN Advice 796,400 29-Jun 13-Jul NY Bedford CSD BAN Advice 31,238,867 29-Jun 13-Jul NY Bedford CSD BAN Advice 1,657,041 29-Jun 13-Jul NY Rye CSD BAN Advice 1,800,000 28-Jun 6-Jul NY West Seneca FD No. 2 BAN Advice 8,000,000 28-Jun 11-Jul NY Lackawanna CSD BAN Advice 7,600,000 28-Jun 11-Jul NY New Rochelle CSD BAN Advice 38,000,000 28-Jun 13-Jul NY New Rochelle CSD BAN Advice 1,225,369 28-Jun 13-Jul NY Amenia Town BAN Advice 1,087,700 28-Jun 13-Jul NY Oceanside UFSD Bonds Advice 7,500,000 27-Jun 6-Jul NY Oceanside UFSD TAN Advice 26,000,000 27-Jun 6-Jul NY Tarrytown UFSD Bonds Advice 8,530,000 27-Jun 10-Jul NY Elmsford UFSD BAN Advice 8,652,000 22-Jun 7-Jul NY Orchard Park CSD BAN Advice 1,387,735 22-Jun 6-Jul NY East Aurora UFSD BAN Advice 494,144 22-Jun 6-Jul NY Kiyras Joel Village Bonds Advice 90,000 22-Jun 6-Jul NY Hamburg Town Bonds Advice 4,460,000 22-Jun 5-Jul NY Hamburg Town BAN Advice 3,320,000 22-Jun 5-Jul NY Wappingers CSD TAN Advice 6,500,000 21-Jun 5-Jul NY Wappingers CSD BAN Advice 3,765,262 21-Jun 5-Jul NY Wappingers CSD Bonds Advice 37,670,463 21-Jun 5-Jul