FORM G-37. Name of Regulated Entity: Capital Markets Advisors LLC. Report Period: First Quarter of 2017
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1 Name of Regulated Entity: Capital Markets Advisors LLC Report Period: First 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: May 9, 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 1st Quarter (January to March) Issuer Type Business Type Par Amount Sale Date Closing Date NY Evans-Brant CSD BAN Advice 1,081, Mar 11-Apr NY Rockland County TAN Advice 60,000,000 Negotiated 6-Apr NY Mount Pleasant Town Bonds Advice 13,701, Mar 12-Apr NY Yonkers City BAN Advice 16,775, Mar 11-Apr NY Orchard Park CSD BAN Advice 22,639, Mar 6-Apr NY Roslyn UFSD Bonds Advice 3,945, Mar 6-Apr NY Glen Cove City BAN Advice 9,988, Mar 5-Apr NY Glen Cove City Taxable BAN Advice 2,392, Mar 5-Apr NY Glen Cove City Taxable BAN Advice 275, Mar 5-Apr NY North Hempstead Town Bonds Advice 49,774, Mar 3-Apr NY North Hempstead Town Bonds Advice 10,970, Mar 3-Apr NY North Hempstead Town BAN Advice 7,354, Mar 3-Apr NY Copiague UFSD BAN Advice 25,000, Mar 30-Mar NY Katonah-Lewisboro UFSD Bonds Advice 1,374, Mar 31-Mar NY Hastings-on-Hudson Village BAN Advice 1,314, Mar 29-Mar NY Niagara County BAN Advice 105, Mar 28-Mar NY Bedford Town Bonds Advice 10,030, Mar 28-Mar NY LaGrange Town BAN Advice 3,676,183 9-Mar 23-Mar NY Valley Stream Village BAN Advice 2,100,000 9-Mar 17-Mar NY Mamaroneck Village Ref. Bonds Advice 11,225,000 8-Mar 5-Apr NY Mount Kisco Village BAN Advice 1,260,000 8-Mar 16-Mar NY Poughkeepsie Town BAN Advice 8,920, Feb 9-Mar NY West Seneca No. 2 FD BAN Advice 3,300, Feb 9-Mar NY Sweet Home CSD Ref. Bonds Advice 10,455, Feb 14-Mar NY Jamestown City BAN Advice 2,000, Feb 8-Mar NY White Plains City Ref. Bonds Advice 21,770, Feb 16-Mar NY White Plains City Ref. Bonds Advice 2,240, Feb 16-Mar NY White Plains City Bonds Advice 14,498, Feb 7-Mar NY New Rochelle City BAN Advice 14,117, Feb 2-Mar NY New Rochelle City Taxable BAN Advice 160, Feb 2-Mar NY Roslyn Estates Village Bonds Advice 650, Feb 1-Mar NY Lackawanna CSD Bonds Advice 6,575, Feb 1-Mar NY North Evans FD BAN Advice 1,400, Feb 1-Mar NY Rochester City BAN Advice 32,000, Feb 28-Feb NY Rochester City BAN Advice 40,395, Feb 13-Mar NY East Hampton Housing Authority BAN Advice 4,000, Feb 23-Feb NY New Paltz CSD BAN Advice 30,000, Feb 28-Feb NY Pelham UFSD Ref. Bonds Advice 9,430,000 9-Feb 2-Mar NY Port Chester Village Bonds Advice 8,960,370 8-Feb 22-Feb NY Port Chester Village Bonds Advice 3,555,000 8-Feb 22-Feb NY Port Chester Village BAN Advice 5,998,400 8-Feb 22-Feb NY Long Beach City Bonds Advice 6,859,500 7-Feb 15-Feb NY Long Beach City BAN Advice 17,185,500 7-Feb 15-Feb NY Lloyd Town BAN Advice 2,839,000 7-Feb 16-Feb NY Freeport UFSD Ref. Bonds Advice 13,810,000 2-Feb 23-Feb NY Middletown City Bonds Advice 5,400,896 2-Feb 16-Feb NY Croton-Harmon UFSD BAN Advice 1,200,000 1-Feb 15-Feb NY West Seneca Town BAN Advice 1,900,000 1-Feb 10-Feb NY Wallkill Town BAN Advice 2,652,000 1-Feb 9-Feb NY Croton-on-Hudson Village Bonds Advice 1,331, Jan 14-Feb NY East Greenbush CSD BAN Advice 13,535, Jan 9-Feb NY Orchard Park FD BAN Advice 1,600, Jan 1-Feb
6 NY Union Vale Town Bonds Advice 765, Jan 2-Feb NY Larchmont Village Bonds Advice 5,908, Jan 1-Feb NY Harrison Village Bonds Advice 9,349, Jan 26-Jan NY Harrison Village Ref. Bonds Advice 6,540, Jan 8-Feb NY Fishkill Village BAN Advice 905, Jan 26-Jan NY Haverstraw Village BAN Advice 1,800, Jan 19-Jan NY Kingston CSD BAN Advice 20,000, Jan 18-Jan NY BOCES - Southern Westchester RAN Advice 6,000,000 4-Jan 12-Jan NY West Haverstraw Village BAN Advice 370,000 4-Jan 12-Jan
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