IPO registrations (S-1, F-1) · Registrants
IPO underwriters in 2002
The investment banks named as underwriters in the final prospectus of every priced offering here, ranked by the gross proceeds of the deals they were on. A deal counts once for every firm in its underwriting syndicate; “as lead” counts the representatives or book-running managers named on the cover.
| # | Firm | Deals in 2002 | As lead in 2002 | Proceeds in 2002 | Deals | As lead | IPOs | Proceeds of deals | Proceeds as lead | Years | Registered |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Credit Suisse | 32 | 19 | $18,093,663,075 | 1,525 | 870 | 1,389 | $1,036,626,860,231 | $684,156,126,306 | 1994–2023 | |
| 2 | Citigroup | 38 | 27 | $17,178,336,911 | 1,955 | 1,012 | 1,749 | $863,586,166,716 | $458,163,431,706 | 1994–2026 | |
| 3 | J.P. Morgan | 34 | 17 | $16,833,448,411 | 1,834 | 1,125 | 1,653 | $850,833,107,159 | $582,380,071,775 | 1994–2026 | |
| 4 | Merrill Lynch | 30 | 17 | $16,277,008,773 | 1,259 | 674 | 1,104 | $409,094,353,035 | $223,441,632,689 | 1994–2024 | |
| 5 | Goldman Sachs | 17 | 13 | $15,918,407,339 | 1,725 | 1,201 | 1,611 | $852,111,045,316 | $651,377,636,938 | 1994–2026 | |
| 6 | UBS | 26 | 13 | $15,716,411,920 | 1,036 | 435 | 958 | $847,708,399,241 | $129,848,621,178 | 1996–2026 | |
| 7 | BofA Securities | 31 | 18 | $14,630,953,764 | 1,320 | 460 | 1,219 | $700,572,400,056 | $245,621,770,026 | 1999–2026 | Broker-dealer |
| 8 | RBC Capital Markets | 21 | 2 | $14,225,859,328 | 888 | 206 | 846 | $475,312,436,779 | $36,489,794,969 | 1996–2026 | Broker-dealer |
| 9 | Piper Sandler | 25 | 12 | $13,941,701,828 | 1,236 | 409 | 1,147 | $331,150,793,886 | $40,164,404,739 | 1994–2026 | |
| 10 | Bear Stearns | 37 | 21 | $12,888,627,339 | 728 | 210 | 648 | $191,334,353,233 | $70,521,413,656 | 1994–2008 | |
| 11 | Siebert Williams Shank | 6 | 0 | $12,823,657,025 | 207 | 1 | 197 | $245,620,103,156 | $3,025,000,000 | 1996–2026 | |
| 12 | KBW | 9 | 3 | $12,523,825,000 | 238 | 82 | 207 | $106,915,406,728 | $7,590,672,812 | 1996–2026 | |
| 13 | Sandler O'Neill & Partners L.P | 6 | 0 | $12,509,440,000 | 105 | 8 | 85 | $35,872,538,903 | $216,687,151 | 1997–2019 | Broker-dealer |
| 14 | Neuberger Berman LLC | 4 | 0 | $12,270,177,764 | 19 | 0 | 19 | $38,984,831,984 | - | 1999–2002 | Broker-dealer |
| 15 | BNY Capital Markets | 3 | 0 | $12,240,000,000 | 25 | 0 | 22 | $41,700,848,260 | - | 1998–2025 | |
| 16 | Deutsche Bank | 36 | 23 | $11,480,925,264 | 1,132 | 482 | 1,055 | $606,945,118,305 | $149,388,082,262 | 1996–2026 | |
| 17 | Lehman Brothers | 16 | 13 | $11,028,727,500 | 843 | 365 | 729 | $198,047,553,300 | $83,666,286,637 | 1994–2008 | Broker-dealer |
| 18 | CIBC World Markets | 15 | 7 | $10,638,050,000 | 385 | 136 | 354 | $115,119,722,252 | $12,133,254,001 | 1999–2026 | Broker-dealer |
| 19 | Wachovia | 21 | 9 | $10,135,782,650 | 379 | 67 | 334 | $112,767,077,449 | $25,320,905,496 | 1996–2008 | |
| 20 | Legg Mason | 16 | 4 | $9,806,748,328 | 425 | 26 | 388 | $96,022,420,686 | $1,483,418,390 | 1994–2005 | |
| 21 | Cowen | 22 | 3 | $9,691,162,500 | 1,086 | 380 | 1,005 | $275,620,128,907 | $48,288,490,860 | 1994–2026 | |
| 22 | Blaylock and Partners, L.P | 9 | 0 | $9,658,369,575 | 68 | 2 | 67 | $72,881,388,698 | $3,871,600,000 | 1996–2005 | |
| 23 | Sturdivant & Co. Inc | 8 | 0 | $9,241,000,000 | 19 | 0 | 19 | $29,479,673,920 | - | 1997–2004 | Broker-dealer |
| 24 | Ramirez & Co. | 4 | 0 | $9,123,400,009 | 146 | 0 | 138 | $212,621,200,449 | - | 1996–2026 | |
| 25 | Utendahl Capital Partners, L.p | 5 | 0 | $8,752,900,000 | 55 | 2 | 53 | $50,304,168,292 | $2,300,000,000 | 1996–2008 | Broker-dealer |
| 26 | BMO Capital Markets | 6 | 0 | $8,665,200,000 | 264 | 71 | 254 | $167,357,999,001 | $11,872,637,970 | 2000–2026 | Broker-dealer |
| 27 | Scotiabank | 13 | 0 | $8,557,763,886 | 122 | 8 | 98 | $130,530,260,255 | $1,907,810,307 | 1996–2026 | |
| 28 | Muriel Siebert & Co. | 2 | 0 | $8,485,000,000 | 56 | 0 | 55 | $119,826,248,703 | - | 1996–2025 | Broker-dealer |
| 29 | TD Securities | 2 | 0 | $8,485,000,000 | 95 | 23 | 81 | $112,006,343,067 | $7,848,498,204 | 1997–2026 | |
| 30 | Janney Montgomery Scott | 5 | 0 | $7,966,913,328 | 375 | 19 | 335 | $65,973,878,591 | $588,649,081 | 1994–2025 | Broker-dealer |
| 31 | Fox-Pitt, Kelton Inc | 4 | 0 | $7,920,480,000 | 58 | 1 | 52 | $35,274,772,038 | $165,750,000 | 1996–2007 | Broker-dealer |
| 32 | Dowling & Partners Securities | 3 | 0 | $7,830,480,000 | 41 | 1 | 38 | $22,802,440,488 | $165,750,000 | 1996–2025 | Broker-dealer |
| 33 | Morgan Stanley | 20 | 13 | $7,441,897,034 | 1,778 | 1,114 | 1,628 | $853,993,056,347 | $642,267,426,866 | 1994–2026 | |
| 34 | Credit Lyonnais Securities | 8 | 0 | $5,878,633,337 | 72 | 2 | 67 | $32,847,975,552 | $442,500,000 | 1994–2004 | |
| 35 | Raymond James | 15 | 4 | $5,777,412,509 | 956 | 127 | 887 | $354,038,723,325 | $11,234,205,352 | 1994–2026 | |
| 36 | A.G. Edwards | 19 | 3 | $5,588,235,231 | 554 | 52 | 491 | $112,218,008,135 | $5,652,230,952 | 1994–2007 | |
| 37 | Chatsworth Securities, Llc | 12 | 0 | $5,381,051,336 | 82 | 0 | 80 | $46,990,218,248 | - | 1997–2006 | Broker-dealer |
| 38 | William Blair | 16 | 5 | $5,317,978,503 | 870 | 144 | 821 | $315,616,203,797 | $11,874,232,644 | 1994–2026 | |
| 39 | McDonald Investments Inc., a Keycorp Company | 6 | 0 | $5,045,040,000 | 111 | 2 | 105 | $40,040,295,652 | $76,450,000 | 1998–2003 | |
| 40 | Buckingham Research Group | 2 | 0 | $4,825,000,000 | 23 | 1 | 19 | $14,099,846,920 | $26,550,000 | 1996–2002 | Broker-dealer |
| 41 | Suntrust Capital Markets, Inc | 10 | 2 | $4,759,253,214 | 35 | 6 | 32 | $12,368,631,580 | $832,241,406 | 2001–2007 | Broker-dealer |
| 42 | BNP Paribas | 2 | 0 | $4,758,400,009 | 100 | 13 | 82 | $138,052,913,891 | $3,296,390,881 | 2000–2026 | |
| 43 | Cantor Fitzgerald | 2 | 0 | $4,720,000,000 | 290 | 208 | 280 | $148,315,660,003 | $43,264,715,382 | 1999–2026 | |
| 44 | Mizuho | 2 | 0 | $4,672,763,886 | 125 | 19 | 119 | $283,974,494,845 | $11,271,533,141 | 2001–2026 | |
| 45 | Fleet Securities, Inc | 11 | 0 | $4,600,000,000 | 12 | 0 | 1 | $4,600,000,000 | - | 2001–2002 | |
| 46 | ABN AMRO | 4 | 0 | $4,600,000,000 | 128 | 11 | 104 | $96,053,548,220 | $5,855,887,500 | 1996–2021 | Broker-dealer |
| 47 | Banca IMI | 1 | 0 | $4,600,000,000 | 6 | 0 | 6 | $11,979,500,000 | - | 2002–2014 | |
| 48 | Barclays Bank PLC | 1 | 0 | $4,600,000,000 | 1 | 0 | 1 | $4,600,000,000 | - | 2002 | |
| 49 | BOE Securities Inc | 1 | 0 | $4,600,000,000 | 2 | 0 | 2 | $13,280,000,000 | - | 2001–2002 | Broker-dealer |
| 50 | Commerzbank Capital Markets Corp | 1 | 0 | $4,600,000,000 | 8 | 0 | 7 | $11,097,106,202 | - | 1999–2004 | Broker-dealer |
| 51 | Dresdner Kleinwort Wasserstein Securities LLC | 1 | 0 | $4,600,000,000 | 9 | 0 | 9 | $21,530,281,086 | - | 2001–2004 | |
| 52 | ING Barings | 1 | 0 | $4,600,000,000 | 73 | 2 | 68 | $34,669,710,369 | $35,000,000 | 1999–2002 | |
| 53 | WestLB Panmure Securities Inc | 1 | 0 | $4,600,000,000 | 1 | 0 | 1 | $4,600,000,000 | - | 2002 | |
| 54 | Jefferies | 21 | 5 | $4,566,935,231 | 931 | 460 | 873 | $248,961,487,693 | $94,846,011,859 | 1994–2026 | Broker-dealer |
| 55 | Robertson Stephens | 6 | 2 | $4,553,423,886 | 635 | 221 | 587 | $82,222,895,758 | $15,390,918,935 | 1994–2002 | |
| 56 | FBR | 9 | 3 | $4,551,270,000 | 260 | 86 | 222 | $50,752,181,380 | $6,347,650,278 | 1996–2020 | |
| 57 | Sanders Morris Harris | 2 | 0 | $4,207,490,000 | 76 | 3 | 73 | $26,041,066,988 | $757,000,000 | 2000–2023 | Broker-dealer |
| 58 | C.L. King & Associates | 3 | 0 | $4,077,763,886 | 151 | 1 | 136 | $100,241,270,960 | $29,999,996 | 1996–2026 | Broker-dealer |
| 59 | Cmg Institutional Trading Llc | 2 | 0 | $4,051,287,450 | 10 | 0 | 10 | $11,610,477,810 | - | 2002–2005 | Broker-dealer |
| 60 | Melvin Securities, L.L.C | 2 | 0 | $4,051,287,450 | 9 | 0 | 9 | $24,630,587,450 | - | 1999–2010 | Broker-dealer |
| 61 | M.R. Beal & Company | 2 | 0 | $4,043,400,009 | 22 | 0 | 20 | $65,419,227,725 | - | 1996–2012 | |
| 62 | Wells Fargo | 4 | 0 | $4,040,511,092 | 483 | 121 | 459 | $383,916,856,433 | $26,709,370,086 | 2000–2026 | |
| 63 | Cochran, Caronia Securities L.L.C | 2 | 0 | $3,969,000,000 | 8 | 1 | 7 | $9,431,500,000 | $60,000,000 | 2001–2005 | |
| 64 | Loop Capital Markets | 2 | 0 | $3,960,000,000 | 170 | 7 | 160 | $199,788,011,717 | $690,352,719 | 1999–2026 | Broker-dealer |
| 65 | May Davis Group | 2 | 0 | $3,950,400,000 | 11 | 0 | 11 | $22,135,573,920 | - | 1998–2002 | |
| 66 | Charles Jordan & Co., LLC | 1 | 0 | $3,885,000,000 | 1 | 0 | 1 | $3,885,000,000 | - | 2002 | Broker-dealer |
| 67 | Doley Securities, Inc | 1 | 0 | $3,885,000,000 | 18 | 0 | 18 | $24,837,125,000 | - | 1998–2002 | Broker-dealer |
| 68 | Edward D. Jones & Co | 1 | 0 | $3,885,000,000 | 229 | 2 | 221 | $72,192,128,349 | $11,250,000 | 1994–2008 | Broker-dealer |
| 69 | Guzman & Company | 1 | 0 | $3,885,000,000 | 39 | 0 | 37 | $74,566,070,134 | - | 1996–2023 | Broker-dealer |
| 70 | Harvestons Securities, Inc | 1 | 0 | $3,885,000,000 | 1 | 0 | 1 | $3,885,000,000 | - | 2002 | Broker-dealer |
| 71 | Jackson Securities | 1 | 0 | $3,885,000,000 | 15 | 0 | 15 | $26,464,175,000 | - | 1999–2007 | Broker-dealer |
| 72 | Monness, Crespi, Hardt & Co. Inc | 1 | 0 | $3,885,000,000 | 9 | 0 | 7 | $5,242,577,640 | - | 1996–2002 | Broker-dealer |
| 73 | Ormes Capital Markets, Inc | 1 | 0 | $3,885,000,000 | 41 | 0 | 39 | $28,702,287,626 | - | 1996–2004 | |
| 74 | Pinnacle Investment, Inc | 1 | 0 | $3,885,000,000 | 1 | 0 | 1 | $3,885,000,000 | - | 2002 | |
| 75 | Pryor, Counts & Co. Inc | 1 | 0 | $3,885,000,000 | 4 | 0 | 4 | $12,768,000,000 | - | 1999–2002 | |
| 76 | SBK Brooks Investment Corp | 1 | 0 | $3,885,000,000 | 2 | 0 | 2 | $4,226,000,000 | - | 2000–2002 | Broker-dealer |
| 77 | The Malachi Group, Inc | 1 | 0 | $3,885,000,000 | 2 | 0 | 2 | $6,910,000,000 | - | 2001–2002 | |
| 78 | Prudential Securities | 10 | 0 | $1,605,715,000 | 449 | 80 | 393 | $85,413,309,039 | $21,225,798,201 | 1994–2002 | |
| 79 | Thomas Weisel Partners | 8 | 3 | $1,521,225,828 | 309 | 116 | 300 | $40,499,348,273 | $9,275,198,395 | 1999–2010 | Broker-dealer |
| 80 | Gerard Klauer Mattison & Co | 7 | 0 | $796,677,764 | 196 | 3 | 183 | $20,960,242,428 | $173,512,000 | 1995–2003 | |
| 81 | First Analysis Securities | 7 | 0 | $756,000,000 | 53 | 1 | 49 | $5,789,571,611 | $20,000,020 | 1996–2018 | Broker-dealer |
| 82 | Jesup & Lamont Securities Corp | 6 | 0 | $756,000,000 | 16 | 0 | 15 | $1,612,710,688 | - | 1998–2007 | Broker-dealer |
| 83 | Lazard Frères & Co LLC | 6 | 0 | $756,000,000 | 18 | 2 | 16 | $10,040,874,449 | $115,633,331 | 2000–2018 | |
| 84 | Midwest Research | 6 | 0 | $756,000,000 | 9 | 0 | 9 | $1,349,750,000 | - | 2000–2002 | |
| 85 | Investec Pmg Capital Corp | 4 | 0 | $625,000,000 | 4 | 0 | 4 | $625,000,000 | - | 2002 | |
| 86 | E*TRADE Securities | 3 | 0 | $558,977,450 | 47 | 2 | 46 | $21,881,399,700 | $70,000,000 | 1998–2012 | Broker-dealer |
| 87 | Allen & Company | 3 | 0 | $494,990,000 | 215 | 30 | 204 | $114,286,973,810 | $9,209,693,064 | 1994–2026 | Broker-dealer |
| 88 | Adams Harkness | 6 | 2 | $431,700,000 | 232 | 32 | 219 | $27,898,329,749 | $1,476,858,500 | 1996–2005 | |
| 89 | Stephens | 6 | 1 | $418,783,764 | 340 | 50 | 316 | $74,700,375,007 | $4,392,667,745 | 1994–2026 | Broker-dealer |
| 90 | Arnhold and S. Bleichroeder Inc | 2 | 0 | $418,400,009 | 53 | 1 | 45 | $9,725,165,639 | $71,550,000 | 1994–2002 | |
| 91 | Fahnestock & Co. Inc | 5 | 0 | $396,366,000 | 207 | 6 | 187 | $33,522,945,483 | $265,850,000 | 1994–2003 | |
| 92 | Wedbush Securities | 3 | 0 | $390,000,000 | 268 | 14 | 249 | $59,488,729,244 | $638,246,416 | 1994–2026 | Broker-dealer |
| 93 | Ladenburg Thalmann | 2 | 0 | $381,000,000 | 287 | 59 | 241 | $24,878,260,432 | $3,026,781,620 | 1994–2026 | |
| 94 | Baird | 4 | 0 | $380,050,000 | 608 | 86 | 566 | $185,990,583,027 | $9,212,644,519 | 1994–2026 | |
| 95 | Advest Inc | 4 | 0 | $369,475,000 | 238 | 9 | 211 | $39,136,666,556 | $79,904,500 | 1994–2004 | |
| 96 | C.e. Unterberg, Towbin | 3 | 0 | $345,400,000 | 162 | 10 | 150 | $12,740,622,216 | $451,080,012 | 1997–2007 | Broker-dealer |
| 97 | Leerink Partners | 3 | 0 | $341,000,000 | 284 | 180 | 270 | $46,540,396,068 | $22,542,620,651 | 1996–2026 | Broker-dealer |
| 98 | Lazard | 4 | 1 | $328,145,828 | 289 | 44 | 238 | $70,991,844,608 | $2,985,038,631 | 1994–2021 | |
| 99 | First Southwest Company | 1 | 0 | $322,490,000 | 45 | 0 | 37 | $8,248,538,480 | - | 1994–2007 | Broker-dealer |
| 100 | Gabelli & Co. Inc | 1 | 0 | $322,490,000 | 63 | 1 | 55 | $12,552,487,085 | $105,000,000 | 1996–2005 | Broker-dealer |
| 101 | Stifel | 6 | 3 | $319,785,000 | 722 | 160 | 687 | $325,299,915,114 | $20,530,366,432 | 1994–2026 | |
| 102 | Bb&t Capital Markets | 4 | 0 | $316,493,328 | 49 | 3 | 39 | $13,092,031,136 | $421,740,000 | 2000–2018 | |
| 103 | Neuberger & Berman | 2 | 0 | $309,000,000 | 27 | 0 | 21 | $8,848,632,183 | - | 1994–2002 | |
| 104 | Epoch Securities, Inc | 2 | 0 | $277,250,000 | 13 | 1 | 12 | $10,153,155,420 | $240,000,000 | 2000–2004 | Broker-dealer |
| 105 | JMP Securities | 2 | 0 | $263,456,000 | 300 | 36 | 278 | $79,459,343,852 | $2,309,249,339 | 2002–2026 | Broker-dealer |
| 106 | Sterling Financial Investment Group | 1 | 0 | $260,000,000 | 2 | 0 | 2 | $375,500,000 | - | 2002–2003 | |
| 107 | Mcdonald Investments Inc | 5 | 1 | $241,960,000 | 27 | 2 | 21 | $8,777,686,456 | $82,515,762 | 1998–2004 | Broker-dealer |
| 108 | Truist Securities | 3 | 0 | $232,963,886 | 666 | 55 | 612 | $198,923,295,075 | $4,298,793,559 | 1994–2026 | Broker-dealer |
| 109 | Jeffries & Company | 1 | 0 | $225,000,000 | 7 | 0 | 7 | $623,824,988 | - | 1997–2003 | |
| 110 | Inverned Associates LLC | 1 | 0 | $216,000,000 | 1 | 0 | 1 | $216,000,000 | - | 2002 | |
| 111 | Needham & Company | 3 | 0 | $197,850,000 | 620 | 68 | 578 | $184,600,883,648 | $6,704,277,840 | 1995–2026 | Broker-dealer |
| 112 | Howe Barnes Investments Inc | 4 | 1 | $193,850,000 | 38 | 6 | 29 | $1,401,827,155 | $109,910,000 | 1996–2006 | |
| 113 | Kaufman Bros. Co | 2 | 0 | $185,080,000 | 76 | 4 | 69 | $5,716,452,667 | $63,000,000 | 1996–2007 | Broker-dealer |
| 114 | Mcadams Wright Ragen, Inc | 2 | 0 | $180,456,000 | 9 | 0 | 8 | $1,324,306,500 | - | 1999–2010 | Broker-dealer |
| 115 | Brean Murray & Co., Inc | 2 | 0 | $169,500,000 | 86 | 4 | 72 | $5,576,591,942 | $27,362,500 | 1996–2005 | |
| 116 | Cazenove & Co | 1 | 0 | $166,287,450 | 23 | 3 | 21 | $17,250,178,620 | $193,700,000 | 1994–2004 | Broker-dealer |
| 117 | Ferris, Baker Watts | 3 | 0 | $163,677,764 | 82 | 13 | 70 | $9,669,964,606 | $724,875,000 | 1996–2007 | Broker-dealer |
| 118 | Hvb Capital Markets | 1 | 0 | $158,400,009 | 5 | 0 | 4 | $2,527,925,009 | - | 2002–2006 | Broker-dealer |
| 119 | Redwine & Company | 1 | 0 | $156,000,000 | 26 | 0 | 25 | $1,805,648,018 | - | 1996–2005 | Broker-dealer |
| 120 | Freimark Blair & Company, Inc | 1 | 0 | $131,100,000 | 4 | 0 | 3 | $831,750,000 | - | 1997–2002 | Broker-dealer |
| 121 | Jolson Merchant Partners L.L.C | 1 | 0 | $131,100,000 | 1 | 0 | 1 | $131,100,000 | - | 2002 | |
| 122 | Morgan Keegan | 4 | 1 | $127,645,828 | 272 | 37 | 241 | $50,851,091,350 | $1,187,489,130 | 1994–2012 | |
| 123 | BB&T Capital Markets/Scott & Stringfellow, Inc | 3 | 0 | $121,433,328 | 6 | 0 | 5 | $414,308,328 | - | 2000–2002 | |
| 124 | Gardner Rich & Co., Inc | 2 | 0 | $120,177,764 | 5 | 0 | 4 | $42,438,177,764 | - | 2001–2010 | Broker-dealer |
| 125 | Fortis Securities | 1 | 0 | $120,000,000 | 17 | 0 | 15 | $3,870,670,000 | - | 2002–2009 | Broker-dealer |
| 126 | Pacific Growth Equities | 1 | 1 | $120,000,000 | 87 | 19 | 81 | $5,439,345,025 | $1,056,935,325 | 1996–2007 | Broker-dealer |
| 127 | J. J. B. Hilliard, W. L. Lyons Inc | 2 | 1 | $106,587,764 | 66 | 1 | 60 | $20,535,041,534 | $76,410,000 | 1994–2014 | Broker-dealer |
| 128 | Natcity Investments, Inc | 2 | 0 | $106,587,764 | 23 | 1 | 20 | $3,356,938,891 | $107,250,000 | 1996–2006 | Broker-dealer |
| 129 | Parker/Hunter Inc | 2 | 0 | $102,500,000 | 136 | 2 | 127 | $17,001,689,680 | $20,000,000 | 1996–2004 | |
| 130 | Accounts receivable, affiliated companies.................. 5,924 -- 58,967 (F) | 1 | 0 | $101,250,000 | 1 | 0 | 1 | $101,250,000 | - | 2002 | |
| 131 | Accounts receivable, net................................... 183,796 (16,370) 16,370 (F) | 1 | 0 | $101,250,000 | 1 | 0 | 1 | $101,250,000 | - | 2002 | |
| 132 | Inventories................................................ 25,623 (12,187) 28,013 (F) | 1 | 0 | $101,250,000 | 1 | 0 | 1 | $101,250,000 | - | 2002 | |
| 133 | Mason Wood Walker | 1 | 0 | $93,500,000 | 2 | 0 | 2 | $179,750,000 | - | 2000–2002 | |
| 134 | W.R. Hambrecht & Co | 2 | 0 | $92,000,000 | 21 | 3 | 19 | $1,542,213,083 | $231,087,321 | 1999–2008 | Broker-dealer |
| 135 | Jefferies/Quarterdeck, LLC and Jefferies & Company, Inc | 1 | 0 | $85,000,000 | 1 | 0 | 1 | $85,000,000 | - | 2002 | |
| 136 | D.A. Davidson | 1 | 0 | $76,410,000 | 108 | 21 | 91 | $38,162,719,764 | $792,624,666 | 1997–2026 | |
| 137 | Smith Incorporated | 1 | 1 | $75,000,000 | 6 | 5 | 4 | $2,243,083,600 | $489,970,000 | 2002–2007 | |
| 138 | information) December 31, September 30 | 1 | 0 | $72,000,000 | 1 | 0 | 1 | $72,000,000 | - | 2002 | |
| 139 | Patient accounts receivable | 1 | 0 | $72,000,000 | 1 | 0 | 1 | $72,000,000 | - | 2002 | |
| 140 | Putnam Lovell Securities | 1 | 0 | $70,200,000 | 7 | 0 | 6 | $6,111,799,350 | - | 2000–2005 | |
| 141 | E*Offering | 1 | 1 | $65,400,000 | 22 | 7 | 21 | $1,607,821,000 | $577,260,000 | 1999–2002 | |
| 142 | Emerging Growth Equities, Ltd | 1 | 0 | $65,000,000 | 4 | 0 | 4 | $385,500,000 | - | 2000–2002 | Broker-dealer |
| 143 | Fidelity Capital Markets | 1 | 0 | $65,000,000 | 28 | 0 | 28 | $2,063,191,500 | - | 1999–2002 | |
| 144 | Pacific Crest Securities | 1 | 0 | $65,000,000 | 190 | 10 | 180 | $61,897,945,190 | $404,446,552 | 1996–2017 | Broker-dealer |
| 145 | Services | 1 | 1 | $65,000,000 | 12 | 4 | 12 | $1,121,850,000 | $215,600,000 | 1999–2002 | |
| 146 | Dominick & Dominick Securities Inc | 1 | 0 | $61,200,000 | 1 | 0 | 0 | $61,200,000 | - | 2002 | |
| 147 | Dundee Securities Corporation | 1 | 0 | $61,200,000 | 5 | 0 | 3 | $18,397,200,000 | - | 2002–2010 | Broker-dealer |
| 148 | Gilford Securities | 1 | 0 | $61,200,000 | 17 | 5 | 14 | $423,227,500 | $54,912,500 | 1996–2014 | Broker-dealer |
| 149 | Griffiths McBurney & Partners | 1 | 0 | $61,200,000 | 3 | 0 | 2 | $1,159,200,000 | - | 1999–2002 | |
| 150 | Hibernia South Coast Capital | 1 | 0 | $61,200,000 | 3 | 0 | 2 | $139,710,000 | - | 2002–2005 | |
| 151 | National Bank Financial | 1 | 0 | $61,200,000 | 8 | 0 | 4 | $28,151,950,000 | - | 2002–2021 | |
| 152 | Rice Voelker Brothers & Frantzen | 1 | 0 | $61,200,000 | 1 | 0 | 0 | $61,200,000 | - | 2002 | |
| 153 | Accounts receivable — net | 1 | 1 | $60,900,000 | 12 | 1 | 11 | $1,324,906,710 | $60,900,000 | 1997–2023 | |
| 154 | December 29 | 1 | 0 | $60,900,000 | 2 | 0 | 2 | $171,100,000 | - | 2002–2015 | |
| 155 | December 30 | 1 | 0 | $60,900,000 | 2 | 0 | 2 | $313,900,000 | - | 2002–2013 | |
| 156 | Pro forma September 28 | 1 | 0 | $60,900,000 | 1 | 0 | 1 | $60,900,000 | - | 2002 | |
| 157 | September 28 | 1 | 0 | $60,900,000 | 1 | 0 | 1 | $60,900,000 | - | 2002 | |
| 158 | Avondale Partners | 1 | 0 | $60,456,000 | 15 | 2 | 14 | $3,827,726,998 | $137,499,998 | 2002–2015 | Broker-dealer |
| 159 | Fulcrum Global Partners LLC | 1 | 0 | $60,456,000 | 1 | 0 | 1 | $60,456,000 | - | 2002 | |
| 160 | McDonald Investment Inc., a KeyCorp Company | 1 | 0 | $60,456,000 | 2 | 0 | 1 | $278,856,000 | - | 1999–2002 | |
| 161 | Roth Capital Partners | 1 | 0 | $60,456,000 | 237 | 139 | 181 | $16,227,031,099 | $4,561,817,705 | 1996–2026 | Broker-dealer |
| 162 | Wunderlich Securities | 1 | 0 | $60,456,000 | 35 | 3 | 28 | $4,623,343,948 | $71,500,000 | 1998–2017 | Broker-dealer |
| 163 | Ladenburg Capital Management | 1 | 0 | $55,000,000 | 1 | 0 | 1 | $55,000,000 | - | 2002 | |
| 164 | Pali Capital, Inc | 1 | 0 | $55,000,000 | 6 | 0 | 6 | $357,545,000 | - | 2002–2007 | Broker-dealer |
| 165 | SoundView | 1 | 0 | $55,000,000 | 113 | 20 | 109 | $16,369,912,353 | $1,121,128,500 | 1996–2003 | |
| 166 | SoundView Technology Corporation | 1 | 0 | $55,000,000 | 3 | 0 | 3 | $138,240,720 | - | 2002–2003 | |
| 167 | Hoefer & Arnett | 2 | 0 | $53,440,000 | 51 | 4 | 42 | $2,393,921,988 | $18,720,000 | 1996–2006 | |
| 168 | Amortization of intangible assets............ 104,000 -- 312,000 (a) | 1 | 0 | $50,000,000 | 1 | 0 | 1 | $50,000,000 | - | 2002 | |
| 169 | Gross profit.................................. 8,240,000 4,255,000 (623,000) | 1 | 0 | $50,000,000 | 1 | 0 | 1 | $50,000,000 | - | 2002 | |
| 170 | Metropolitan Investment Securities, Inc | 1 | 1 | $50,000,000 | 1 | 1 | 1 | $50,000,000 | $50,000,000 | 2002 | |
| 171 | Jefferies & Company 50.000 McDonald Investments Inc | 1 | 0 | $49,500,000 | 1 | 0 | 1 | $49,500,000 | - | 2002 | |
| 172 | Ryan Beck & Co | 1 | 0 | $49,500,000 | 48 | 7 | 37 | $3,077,370,294 | $204,082,965 | 1996–2006 | Broker-dealer |
| 173 | Sws Securities | 1 | 0 | $49,500,000 | 1 | 0 | 1 | $49,500,000 | - | 2002 | |
| 174 | First Albany | 1 | 0 | $42,500,000 | 161 | 6 | 145 | $15,673,779,270 | $88,022,027 | 1994–2003 | |
| 175 | HSBC | 1 | 1 | $35,000,000 | 156 | 18 | 146 | $220,952,796,847 | $42,788,330,946 | 1996–2025 | |
| 176 | Nasdaq original listing fee | 1 | 0 | $35,000,000 | 1 | 0 | 1 | $35,000,000 | - | 2002 | |
| 177 | NASD filing fee | 1 | 0 | $35,000,000 | 1 | 0 | 1 | $35,000,000 | - | 2002 | |
| 178 | Printing and engraving costs | 1 | 0 | $35,000,000 | 2 | 0 | 2 | $167,000,000 | - | 2002–2005 | |
| 179 | WR Hambrecht + Co | 2 | 1 | $33,333,328 | 21 | 6 | 20 | $5,981,441,447 | $204,000,000 | 1999–2013 | |
| 180 | Strand, Atkinson, Williams & York, Inc | 1 | 0 | $30,177,764 | 2 | 0 | 2 | $360,777,764 | - | 1999–2002 | Broker-dealer |
| 181 | Delafield Hambrecht | 1 | 1 | $28,000,000 | 2 | 1 | 2 | $77,600,000 | $28,000,000 | 2002–2004 | Broker-dealer |
| 182 | Harkness & Hill, Inc | 1 | 0 | $28,000,000 | 1 | 0 | 1 | $28,000,000 | - | 2002 | |
| 183 | Additional paid in capital | 1 | 1 | $14,786,690 | 1 | 1 | 0 | $14,786,690 | $14,786,690 | 2002 | |
| 184 | Chengdu joint venture (Note 6) -- | 1 | 0 | $14,786,690 | 1 | 0 | 0 | $14,786,690 | - | 2002 | |
| 185 | Cost of Sales (18,332) (18,332) | 1 | 0 | $14,786,690 | 1 | 0 | 0 | $14,786,690 | - | 2002 | |
| 186 | December 31, December 31 | 1 | 0 | $14,786,690 | 1 | 0 | 0 | $14,786,690 | - | 2002 | |
| 187 | EXTRAORDINARY ITEM (Note 15) | 1 | 0 | $14,786,690 | 1 | 0 | 0 | $14,786,690 | - | 2002 | |
| 188 | Goodwill (Note 6) -- | 1 | 0 | $14,786,690 | 1 | 0 | 0 | $14,786,690 | - | 2002 | |
| 189 | Property and equipment, net (Note 5) | 1 | 0 | $14,786,690 | 1 | 0 | 0 | $14,786,690 | - | 2002 | |
| 190 | Phoenix and Ahwatukee | 1 | 0 | $13,440,000 | 1 | 0 | 1 | $13,440,000 | - | 2002 | |
| 191 | Solvang, Golota and Ojai | 1 | 0 | $13,440,000 | 1 | 0 | 1 | $13,440,000 | - | 2002 | |
| 192 | Spencer Edwards, Inc | 1 | 1 | $10,000,000 | 1 | 1 | 1 | $10,000,000 | $10,000,000 | 2002 | Broker-dealer |
| 193 | Monogenesis Corporation | 1 | 1 | $8,921,049 | 1 | 1 | 0 | $8,921,049 | $8,921,049 | 2002 | |
| 194 | Cjs Securities | 1 | 0 | $5,333,328 | 6 | 0 | 5 | $638,527,826 | - | 1999–2014 | Broker-dealer |
| 195 | Inventory | 1 | 1 | $760,655 | 6 | 2 | 5 | $343,800,363 | $50,635,655 | 2002–2019 | |
| 196 | September 30 | 1 | 0 | $760,655 | 4 | 0 | 4 | $332,760,655 | - | 1997–2022 | |
| 197 | Empire Financial Group Inc | 1 | 0 | $600,000 | 2 | 0 | 2 | $600,000 | - | 2002–2007 | Broker-dealer |
| 198 | Dresdner Kleinwort Wasserstein | 10 | 0 | - | 14 | 0 | 4 | $3,133,481,086 | - | 2001–2005 | |
| 199 | Banc One Capital Markets, Inc | 3 | 0 | - | 5 | 0 | 1 | - | - | 1999–2003 | |
| 200 | The Royal Bank of Scotland | 1 | 0 | - | 1 | 0 | 0 | - | - | 2002 |
200 firms active in 2002, up to 300. Proceeds are the gross proceeds of the whole deal (price times shares sold), not the firm’s own allocation. “Registered” marks firms matched by name to the SEC’s broker-dealer list.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Offering terms are read from the cover pages of the registrant's final prospectus (424B4, 424B1) and its latest registration statement before pricing: the price range, the final price, shares offered, gross proceeds (the cover's total, else price times shares), exchange and ticker, and the underwriters named on the cover and in the underwriting table (loader/s1_terms.py). Underwriter names are normalised, so Goldman, Sachs & Co. of 1999 and Goldman Sachs & Co. LLC of 2024 are one firm.