IPO registrations (S-1, F-1) · Registrants
IPO underwriters in 2004
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 2004 | As lead in 2004 | Proceeds in 2004 | Deals | As lead | IPOs | Proceeds of deals | Proceeds as lead | Years | Registered |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Credit Suisse | 61 | 42 | $390,022,972,046 | 1,525 | 870 | 1,389 | $1,036,626,860,231 | $684,156,126,306 | 1994–2023 | |
| 2 | UBS | 71 | 43 | $383,179,458,169 | 1,036 | 435 | 958 | $847,708,399,241 | $129,848,621,178 | 1996–2026 | |
| 3 | Banks | 1 | 0 | $367,192,800,000 | 1 | 0 | 0 | $367,192,800,000 | - | 2004 | |
| 4 | Merrill Lynch | 65 | 46 | $19,341,077,112 | 1,259 | 674 | 1,104 | $409,094,353,035 | $223,441,632,689 | 1994–2024 | |
| 5 | J.P. Morgan | 63 | 39 | $17,731,238,832 | 1,834 | 1,125 | 1,653 | $850,833,107,159 | $582,380,071,775 | 1994–2026 | |
| 6 | Goldman Sachs | 39 | 31 | $16,783,380,702 | 1,725 | 1,201 | 1,611 | $852,111,045,316 | $651,377,636,938 | 1994–2026 | |
| 7 | Citigroup | 38 | 22 | $16,389,700,107 | 1,955 | 1,012 | 1,749 | $863,586,166,716 | $458,163,431,706 | 1994–2026 | |
| 8 | Deutsche Bank | 41 | 13 | $14,884,071,475 | 1,132 | 482 | 1,055 | $606,945,118,305 | $149,388,082,262 | 1996–2026 | |
| 9 | Lehman Brothers | 64 | 33 | $14,717,176,234 | 843 | 365 | 729 | $198,047,553,300 | $83,666,286,637 | 1994–2008 | Broker-dealer |
| 10 | Morgan Stanley | 34 | 27 | $13,205,462,459 | 1,778 | 1,114 | 1,628 | $853,993,056,347 | $642,267,426,866 | 1994–2026 | |
| 11 | BofA Securities | 45 | 23 | $11,830,544,483 | 1,320 | 460 | 1,219 | $700,572,400,056 | $245,621,770,026 | 1999–2026 | Broker-dealer |
| 12 | Bear Stearns | 29 | 11 | $11,449,723,235 | 728 | 210 | 648 | $191,334,353,233 | $70,521,413,656 | 1994–2008 | |
| 13 | Blaylock and Partners, L.P | 11 | 0 | $8,943,979,182 | 68 | 2 | 67 | $72,881,388,698 | $3,871,600,000 | 1996–2005 | |
| 14 | Raymond James | 31 | 5 | $8,771,418,583 | 956 | 127 | 887 | $354,038,723,325 | $11,234,205,352 | 1994–2026 | |
| 15 | CIBC World Markets | 32 | 14 | $8,318,031,926 | 385 | 136 | 354 | $115,119,722,252 | $12,133,254,001 | 1999–2026 | Broker-dealer |
| 16 | Piper Sandler | 54 | 30 | $8,145,515,390 | 1,236 | 409 | 1,147 | $331,150,793,886 | $40,164,404,739 | 1994–2026 | |
| 17 | RBC Capital Markets | 44 | 27 | $8,081,858,321 | 888 | 206 | 846 | $475,312,436,779 | $36,489,794,969 | 1996–2026 | Broker-dealer |
| 18 | Ramirez & Co. | 5 | 0 | $6,765,486,702 | 146 | 0 | 138 | $212,621,200,449 | - | 1996–2026 | |
| 19 | Harris Nesbitt | 20 | 1 | $6,727,848,740 | 31 | 2 | 29 | $12,181,164,308 | $138,625,000 | 2004–2006 | |
| 20 | Muriel Siebert & Co. | 5 | 0 | $6,414,117,512 | 56 | 0 | 55 | $119,826,248,703 | - | 1996–2025 | Broker-dealer |
| 21 | William Blair | 30 | 14 | $6,121,149,520 | 870 | 144 | 821 | $315,616,203,797 | $11,874,232,644 | 1994–2026 | |
| 22 | Legg Mason | 18 | 2 | $6,039,398,044 | 425 | 26 | 388 | $96,022,420,686 | $1,483,418,390 | 1994–2005 | |
| 23 | Wachovia | 19 | 9 | $5,892,015,303 | 379 | 67 | 334 | $112,767,077,449 | $25,320,905,496 | 1996–2008 | |
| 24 | HSBC | 6 | 1 | $5,644,381,086 | 156 | 18 | 146 | $220,952,796,847 | $42,788,330,946 | 1996–2025 | |
| 25 | Cowen | 31 | 21 | $5,208,978,662 | 1,086 | 380 | 1,005 | $275,620,128,907 | $48,288,490,860 | 1994–2026 | |
| 26 | KBW | 13 | 2 | $5,155,273,010 | 238 | 82 | 207 | $106,915,406,728 | $7,590,672,812 | 1996–2026 | |
| 27 | Lazard Frères & Co LLC | 6 | 1 | $5,153,362,068 | 18 | 2 | 16 | $10,040,874,449 | $115,633,331 | 2000–2018 | |
| 28 | Cochran Caronia | 5 | 1 | $5,118,650,000 | 11 | 2 | 11 | $5,882,249,676 | $204,128,256 | 2001–2006 | |
| 29 | Thomas Weisel Partners | 31 | 17 | $4,639,429,920 | 309 | 116 | 300 | $40,499,348,273 | $9,275,198,395 | 1999–2010 | Broker-dealer |
| 30 | KeyBanc Capital Markets | 19 | 3 | $4,608,339,200 | 471 | 23 | 422 | $121,771,160,950 | $4,836,932,204 | 1994–2026 | Broker-dealer |
| 31 | Cochran, Caronia Securities L.L.C | 2 | 0 | $4,587,500,000 | 8 | 1 | 7 | $9,431,500,000 | $60,000,000 | 2001–2005 | |
| 32 | Sandler O'Neill & Partners L.P | 9 | 0 | $4,454,750,000 | 105 | 8 | 85 | $35,872,538,903 | $216,687,151 | 1997–2019 | Broker-dealer |
| 33 | Dresdner Kleinwort Wasserstein Securities LLC | 2 | 0 | $4,408,581,086 | 9 | 0 | 9 | $21,530,281,086 | - | 2001–2004 | |
| 34 | Loop Capital Markets | 2 | 0 | $4,408,581,086 | 170 | 7 | 160 | $199,788,011,717 | $690,352,719 | 1999–2026 | Broker-dealer |
| 35 | Scotiabank | 4 | 0 | $4,057,976,196 | 122 | 8 | 98 | $130,530,260,255 | $1,907,810,307 | 1996–2026 | |
| 36 | Nomura | 2 | 0 | $3,854,552,126 | 140 | 17 | 136 | $106,193,829,760 | $4,652,541,277 | 1994–2026 | |
| 37 | Stephens | 8 | 4 | $3,598,300,000 | 340 | 50 | 316 | $74,700,375,007 | $4,392,667,745 | 1994–2026 | Broker-dealer |
| 38 | Jefferies | 20 | 6 | $3,595,121,582 | 931 | 460 | 873 | $248,961,487,693 | $94,846,011,859 | 1994–2026 | Broker-dealer |
| 39 | Cmg Institutional Trading Llc | 2 | 0 | $3,494,166,660 | 10 | 0 | 10 | $11,610,477,810 | - | 2002–2005 | Broker-dealer |
| 40 | Edward D. Jones & Co | 2 | 0 | $3,494,166,660 | 229 | 2 | 221 | $72,192,128,349 | $11,250,000 | 1994–2008 | Broker-dealer |
| 41 | Dowling & Partners Securities | 3 | 0 | $3,260,800,000 | 41 | 1 | 38 | $22,802,440,488 | $165,750,000 | 1996–2025 | Broker-dealer |
| 42 | Utendahl Capital Partners, L.p | 4 | 0 | $3,260,723,942 | 55 | 2 | 53 | $50,304,168,292 | $2,300,000,000 | 1996–2008 | Broker-dealer |
| 43 | Keybanc Capital Markets, a Division of McDonald Investments Inc | 5 | 1 | $3,158,522,448 | 22 | 6 | 20 | $10,008,991,294 | $424,745,500 | 2004–2007 | |
| 44 | ABN AMRO | 7 | 0 | $3,153,557,282 | 128 | 11 | 104 | $96,053,548,220 | $5,855,887,500 | 1996–2021 | Broker-dealer |
| 45 | Siebert Williams Shank | 5 | 0 | $3,074,650,000 | 207 | 1 | 197 | $245,620,103,156 | $3,025,000,000 | 1996–2026 | |
| 46 | Wells Fargo | 10 | 2 | $2,999,123,068 | 483 | 121 | 459 | $383,916,856,433 | $26,709,370,086 | 2000–2026 | |
| 47 | ING | 4 | 1 | $2,949,992,909 | 119 | 74 | 112 | $134,859,322,258 | $90,075,353,918 | 1996–2026 | |
| 48 | C.L. King & Associates | 2 | 0 | $2,857,600,000 | 151 | 1 | 136 | $100,241,270,960 | $29,999,996 | 1996–2026 | Broker-dealer |
| 49 | BNP Paribas | 11 | 10 | $2,827,500,000 | 100 | 13 | 82 | $138,052,913,891 | $3,296,390,881 | 2000–2026 | |
| 50 | Barclays | 3 | 2 | $2,827,500,000 | 655 | 319 | 611 | $493,254,222,672 | $141,248,018,502 | 1996–2026 | |
| 51 | Santander | 2 | 0 | $2,827,500,000 | 72 | 27 | 66 | $145,928,811,115 | $7,672,304,706 | 2004–2026 | |
| 52 | Banca IMI | 1 | 0 | $2,827,500,000 | 6 | 0 | 6 | $11,979,500,000 | - | 2002–2014 | |
| 53 | Daiwa Securities SMBC Europe | 1 | 0 | $2,827,500,000 | 1 | 0 | 1 | $2,827,500,000 | - | 2004 | |
| 54 | Fox-Pitt, Kelton Inc | 1 | 0 | $2,827,500,000 | 58 | 1 | 52 | $35,274,772,038 | $165,750,000 | 1996–2007 | Broker-dealer |
| 55 | Guzman & Company | 1 | 0 | $2,827,500,000 | 39 | 0 | 37 | $74,566,070,134 | - | 1996–2023 | Broker-dealer |
| 56 | Melvin Securities, L.L.C | 1 | 0 | $2,827,500,000 | 9 | 0 | 9 | $24,630,587,450 | - | 1999–2010 | Broker-dealer |
| 57 | Ormes Capital Markets, Inc | 1 | 0 | $2,827,500,000 | 41 | 0 | 39 | $28,702,287,626 | - | 1996–2004 | |
| 58 | Sturdivant & Co. Inc | 1 | 0 | $2,827,500,000 | 19 | 0 | 19 | $29,479,673,920 | - | 1997–2004 | Broker-dealer |
| 59 | TD Securities | 1 | 0 | $2,827,500,000 | 95 | 23 | 81 | $112,006,343,067 | $7,848,498,204 | 1997–2026 | |
| 60 | Tokyo Mitsubishi International plc | 1 | 0 | $2,827,500,000 | 2 | 0 | 2 | $8,297,500,000 | - | 1999–2004 | |
| 61 | Utendahl Capital Parnters, L.P | 1 | 0 | $2,827,500,000 | 1 | 0 | 1 | $2,827,500,000 | - | 2004 | |
| 62 | Truist Securities | 9 | 0 | $2,796,800,000 | 666 | 55 | 612 | $198,923,295,075 | $4,298,793,559 | 1994–2026 | Broker-dealer |
| 63 | Lazard | 7 | 2 | $2,746,663,868 | 289 | 44 | 238 | $70,991,844,608 | $2,985,038,631 | 1994–2021 | |
| 64 | L Ehman B Rothers | 12 | 0 | $2,733,533,250 | 27 | 0 | 25 | $5,123,887,347 | - | 2001–2007 | |
| 65 | Cazenove & Co | 2 | 0 | $2,693,481,546 | 23 | 3 | 21 | $17,250,178,620 | $193,700,000 | 1994–2004 | Broker-dealer |
| 66 | D.A. Davidson | 6 | 2 | $2,631,419,000 | 108 | 21 | 91 | $38,162,719,764 | $792,624,666 | 1997–2026 | |
| 67 | P Iper J Affray | 10 | 0 | $2,608,695,750 | 12 | 0 | 12 | $2,732,767,750 | - | 2004–2007 | |
| 68 | Needham & Company | 14 | 7 | $2,515,508,250 | 620 | 68 | 578 | $184,600,883,648 | $6,704,277,840 | 1995–2026 | Broker-dealer |
| 69 | Allen & Company | 7 | 1 | $2,279,509,305 | 215 | 30 | 204 | $114,286,973,810 | $9,209,693,064 | 1994–2026 | Broker-dealer |
| 70 | Commerzbank Capital Markets Corp | 2 | 0 | $2,271,557,282 | 8 | 0 | 7 | $11,097,106,202 | - | 1999–2004 | Broker-dealer |
| 71 | Morgan Joseph | 1 | 0 | $2,231,327,000 | 23 | 9 | 18 | $4,210,670,120 | $273,025,000 | 2003–2010 | Broker-dealer |
| 72 | Macquarie Securities Limited | 3 | 0 | $2,097,052,126 | 4 | 0 | 4 | $3,249,052,126 | - | 2004–2007 | Broker-dealer |
| 73 | Suntrust Capital Markets, Inc | 5 | 0 | $2,058,695,000 | 35 | 6 | 32 | $12,368,631,580 | $832,241,406 | 2001–2007 | Broker-dealer |
| 74 | M.R. Beal & Company | 2 | 0 | $2,005,536,426 | 22 | 0 | 20 | $65,419,227,725 | - | 1996–2012 | |
| 75 | Pacific Crest Securities | 5 | 0 | $1,955,731,086 | 190 | 10 | 180 | $61,897,945,190 | $404,446,552 | 1996–2017 | Broker-dealer |
| 76 | Mcdonald Investments Inc | 2 | 0 | $1,845,187,500 | 27 | 2 | 21 | $8,777,686,456 | $82,515,762 | 1998–2004 | Broker-dealer |
| 77 | Calyon Securities (USA) | 2 | 0 | $1,819,081,086 | 18 | 0 | 18 | $27,451,517,714 | - | 2004–2009 | Broker-dealer |
| 78 | WR Hambrecht + Co | 4 | 1 | $1,772,279,420 | 21 | 6 | 20 | $5,981,441,447 | $204,000,000 | 1999–2013 | |
| 79 | Fortis Investment Services Llc | 1 | 0 | $1,760,000,000 | 1 | 0 | 1 | $1,760,000,000 | - | 2004 | |
| 80 | Utendahl Capital Group, L.L.C | 2 | 0 | $1,666,429,420 | 6 | 0 | 6 | $21,080,754,420 | - | 2004–2008 | Broker-dealer |
| 81 | Ameritrade, Inc | 1 | 0 | $1,666,429,420 | 1 | 0 | 1 | $1,666,429,420 | - | 2004 | Broker-dealer |
| 82 | Epoch Securities, Inc | 1 | 0 | $1,666,429,420 | 13 | 1 | 12 | $10,153,155,420 | $240,000,000 | 2000–2004 | Broker-dealer |
| 83 | E*TRADE Securities | 1 | 0 | $1,666,429,420 | 47 | 2 | 46 | $21,881,399,700 | $70,000,000 | 1998–2012 | Broker-dealer |
| 84 | HARRISdirect, LLC | 1 | 0 | $1,666,429,420 | 2 | 0 | 2 | $1,782,429,420 | - | 2004–2005 | |
| 85 | FBR | 19 | 12 | $1,603,842,568 | 260 | 86 | 222 | $50,752,181,380 | $6,347,650,278 | 1996–2020 | |
| 86 | Utendahl Capital | 2 | 0 | $1,581,081,086 | 2 | 0 | 2 | $1,581,081,086 | - | 2004 | |
| 87 | BBVA Securities Inc | 1 | 0 | $1,581,081,086 | 7 | 0 | 6 | $22,022,394,917 | - | 2001–2023 | Broker-dealer |
| 88 | Dresdner Kleinwort Wasserstein | 1 | 0 | $1,581,081,086 | 14 | 0 | 4 | $3,133,481,086 | - | 2001–2005 | |
| 89 | Enskilda Securities AB | 1 | 0 | $1,581,081,086 | 1 | 0 | 1 | $1,581,081,086 | - | 2004 | |
| 90 | Mizuho | 1 | 0 | $1,581,081,086 | 125 | 19 | 119 | $283,974,494,845 | $11,271,533,141 | 2001–2026 | |
| 91 | A.G. Edwards | 16 | 3 | $1,365,684,414 | 554 | 52 | 491 | $112,218,008,135 | $5,652,230,952 | 1994–2007 | |
| 92 | CLSA | 5 | 0 | $1,357,857,267 | 37 | 2 | 36 | $46,187,018,535 | $150,550,000 | 2000–2024 | |
| 93 | Baird | 19 | 12 | $1,350,063,240 | 608 | 86 | 566 | $185,990,583,027 | $9,212,644,519 | 1994–2026 | |
| 94 | Stifel | 14 | 2 | $1,207,770,568 | 722 | 160 | 687 | $325,299,915,114 | $20,530,366,432 | 1994–2026 | |
| 95 | Daiwa Securities SMBC Hong Kong Limited | 2 | 0 | $1,027,052,126 | 4 | 0 | 4 | $3,994,907,679 | - | 2003–2004 | |
| 96 | Bear Stearns Asia Limited | 1 | 0 | $1,027,052,126 | 1 | 0 | 1 | $1,027,052,126 | - | 2004 | |
| 97 | Cazenove Asia Limited | 1 | 0 | $1,027,052,126 | 2 | 0 | 2 | $3,897,728,679 | - | 2003–2004 | |
| 98 | Deutsche Bank AG, Hong Kong Branch | 1 | 0 | $1,027,052,126 | 5 | 3 | 5 | $4,630,880,427 | $733,151,748 | 2003–2025 | |
| 99 | International Underwriters: China International Capital Corporation Limited | 1 | 0 | $1,027,052,126 | 1 | 0 | 1 | $1,027,052,126 | - | 2004 | |
| 100 | Subtotal | 1 | 0 | $1,027,052,126 | 5 | 0 | 5 | $8,432,226,500 | - | 1998–2010 | |
| 101 | U.S. Underwriters: China International Capital Corporation Limited | 1 | 0 | $1,027,052,126 | 1 | 0 | 1 | $1,027,052,126 | - | 2004 | |
| 102 | JMP Securities | 11 | 3 | $900,977,274 | 300 | 36 | 278 | $79,459,343,852 | $2,309,249,339 | 2002–2026 | Broker-dealer |
| 103 | Credit Lyonnais Securities | 1 | 0 | $882,000,000 | 72 | 2 | 67 | $32,847,975,552 | $442,500,000 | 1994–2004 | |
| 104 | Sachs & | 2 | 1 | $802,391,660 | 24 | 4 | 24 | $8,350,312,111 | $1,485,104,160 | 2001–2026 | |
| 105 | LG Investment & Securities | 1 | 1 | $748,800,000 | 1 | 1 | 1 | $748,800,000 | $748,800,000 | 2004 | |
| 106 | Advest Inc | 9 | 1 | $743,158,568 | 238 | 9 | 211 | $39,136,666,556 | $79,904,500 | 1994–2004 | |
| 107 | ThinkEquity | 8 | 1 | $724,847,082 | 109 | 69 | 96 | $6,592,715,620 | $2,292,006,760 | 2001–2026 | Broker-dealer |
| 108 | First Albany Capital | 8 | 0 | $634,747,082 | 23 | 3 | 20 | $1,511,269,082 | $224,900,000 | 2004–2007 | Broker-dealer |
| 109 | Morgan Keegan | 4 | 0 | $576,300,000 | 272 | 37 | 241 | $50,851,091,350 | $1,187,489,130 | 1994–2012 | |
| 110 | Ferris, Baker Watts | 5 | 2 | $561,800,000 | 82 | 13 | 70 | $9,669,964,606 | $724,875,000 | 1996–2007 | Broker-dealer |
| 111 | Oppenheimer | 6 | 1 | $526,323,198 | 674 | 128 | 605 | $158,412,465,252 | $19,302,370,805 | 1994–2026 | |
| 112 | Roth Capital Partners | 6 | 3 | $507,728,568 | 237 | 139 | 181 | $16,227,031,099 | $4,561,817,705 | 1996–2026 | Broker-dealer |
| 113 | Petrie Parkman & Co | 3 | 0 | $495,984,448 | 48 | 4 | 38 | $9,682,573,289 | $90,572,500 | 1994–2006 | |
| 114 | Adams Harkness | 11 | 6 | $470,559,000 | 232 | 32 | 219 | $27,898,329,749 | $1,476,858,500 | 1996–2005 | |
| 115 | Johnson Rice | 4 | 2 | $439,906,427 | 79 | 10 | 67 | $12,361,219,599 | $689,617,339 | 1994–2025 | |
| 116 | Stanford Group Company | 1 | 0 | $360,000,000 | 8 | 1 | 7 | $1,854,660,000 | $6,720,000 | 1999–2008 | Broker-dealer |
| 117 | underwriter’s name. Citigroup Global Markets Inc | 1 | 0 | $360,000,000 | 2 | 0 | 2 | $840,000,000 | - | 2004–2018 | |
| 118 | Janney Montgomery Scott | 6 | 1 | $296,731,500 | 375 | 19 | 335 | $65,973,878,591 | $588,649,081 | 1994–2025 | Broker-dealer |
| 119 | Sole Global Coordinator and Sole | 1 | 0 | $291,389,511 | 1 | 0 | 1 | $291,389,511 | - | 2004 | |
| 120 | Troika Dialog | 1 | 1 | $291,389,511 | 1 | 1 | 1 | $291,389,511 | $291,389,511 | 2004 | |
| 121 | Wedbush Securities | 3 | 0 | $274,373,568 | 268 | 14 | 249 | $59,488,729,244 | $638,246,416 | 1994–2026 | Broker-dealer |
| 122 | Fortis Securities | 2 | 0 | $271,000,000 | 17 | 0 | 15 | $3,870,670,000 | - | 2002–2009 | Broker-dealer |
| 123 | Accounts receivable — net | 3 | 0 | $252,900,000 | 12 | 1 | 11 | $1,324,906,710 | $60,900,000 | 1997–2023 | |
| 124 | Investment Banking | 1 | 0 | $238,000,000 | 2 | 0 | 2 | $478,000,000 | - | 2004–2026 | |
| 125 | SG Corporate & | 1 | 0 | $238,000,000 | 1 | 0 | 1 | $238,000,000 | - | 2004 | |
| 126 | Société Générale | 1 | 0 | $238,000,000 | 2 | 0 | 2 | $318,000,000 | - | 2004–2013 | |
| 127 | Natexis Bleichroeder Inc | 3 | 0 | $237,750,000 | 13 | 0 | 13 | $5,785,722,700 | - | 2004–2007 | Broker-dealer |
| 128 | Chatsworth Securities, Llc | 2 | 0 | $233,814,000 | 82 | 0 | 80 | $46,990,218,248 | - | 1997–2006 | Broker-dealer |
| 129 | Stearns & Co | 1 | 0 | $229,000,000 | 6 | 1 | 6 | $1,519,510,700 | $14,285,000 | 2000–2007 | |
| 130 | Sanders Morris Harris | 5 | 0 | $225,770,000 | 76 | 3 | 73 | $26,041,066,988 | $757,000,000 | 2000–2023 | Broker-dealer |
| 131 | DeMatteo Monness LLC | 2 | 0 | $225,466,661 | 2 | 0 | 2 | $225,466,661 | - | 2004 | Broker-dealer |
| 132 | Simmons & Company | 2 | 2 | $222,000,000 | 97 | 10 | 91 | $29,259,850,210 | $1,687,748,115 | 1994–2021 | |
| 133 | Maxim Group | 4 | 0 | $221,700,000 | 258 | 163 | 193 | $15,466,060,259 | $6,645,662,925 | 2004–2026 | Broker-dealer |
| 134 | Flagstone Securities LLC | 2 | 0 | $195,500,000 | 2 | 0 | 1 | $195,500,000 | - | 2004 | Broker-dealer |
| 135 | Accounts receivable | 3 | 0 | $188,740,000 | 12 | 3 | 10 | $744,470,000 | $186,255,000 | 1996–2021 | |
| 136 | Bb&t Capital Markets | 3 | 1 | $188,168,568 | 49 | 3 | 39 | $13,092,031,136 | $421,740,000 | 2000–2018 | |
| 137 | Dominick & Dominick Inc | 1 | 0 | $179,550,000 | 64 | 1 | 61 | $6,112,608,160 | $13,420,000 | 1996–2012 | Broker-dealer |
| 138 | December 31 | 2 | 0 | $179,500,000 | 20 | 2 | 15 | $1,937,423,730 | $79,264,865 | 2004–2020 | |
| 139 | Pacific Growth Equities | 4 | 2 | $178,850,000 | 87 | 19 | 81 | $5,439,345,025 | $1,056,935,325 | 1996–2007 | Broker-dealer |
| 140 | Crowell Weedon & Co | 1 | 0 | $171,428,568 | 122 | 2 | 115 | $23,369,770,952 | $79,471,400 | 1996–2007 | Broker-dealer |
| 141 | of ADSs Merrill Lynch, Pierce, Fenner & Smith Incorporated | 1 | 1 | $170,984,448 | 1 | 1 | 1 | $170,984,448 | $170,984,448 | 2004 | |
| 142 | Pactual Capital Corporation | 1 | 1 | $170,984,448 | 1 | 1 | 1 | $170,984,448 | $170,984,448 | 2004 | |
| 143 | J. J. B. Hilliard, W. L. Lyons Inc | 1 | 0 | $159,397,140 | 66 | 1 | 60 | $20,535,041,534 | $76,410,000 | 1994–2014 | Broker-dealer |
| 144 | The Hongkong and Shanghai Banking | 2 | 0 | $152,399,357 | 3 | 0 | 3 | $1,526,559,357 | - | 2003–2004 | |
| 145 | Barrington Research Associates, Inc | 1 | 0 | $150,000,000 | 23 | 0 | 23 | $3,880,601,454 | - | 1997–2025 | Broker-dealer |
| 146 | Inventories | 2 | 0 | $146,740,000 | 9 | 2 | 9 | $617,710,000 | $90,800,000 | 1998–2014 | |
| 147 | Doft & Co. Inc | 1 | 0 | $140,064,000 | 41 | 0 | 37 | $6,466,035,688 | - | 1996–2005 | Broker-dealer |
| 148 | Income taxes receivable | 1 | 0 | $130,000,000 | 2 | 0 | 2 | $341,764,708 | - | 2004–2019 | |
| 149 | Inventory held for others | 1 | 0 | $130,000,000 | 1 | 0 | 1 | $130,000,000 | - | 2004 | |
| 150 | Staktek Holdings, Inc. December 31 | 1 | 0 | $130,000,000 | 1 | 0 | 1 | $130,000,000 | - | 2004 | |
| 151 | Hoefer & Arnett | 2 | 0 | $127,600,000 | 51 | 4 | 42 | $2,393,921,988 | $18,720,000 | 1996–2006 | |
| 152 | Merriman Curhan Ford | 1 | 0 | $126,500,000 | 14 | 4 | 10 | $810,980,004 | $219,429,344 | 2003–2010 | Broker-dealer |
| 153 | Smith Incorporated | 1 | 1 | $124,800,000 | 6 | 5 | 4 | $2,243,083,600 | $489,970,000 | 2002–2007 | |
| 154 | Bb&t Capital | 1 | 0 | $122,500,000 | 4 | 0 | 2 | $510,640,000 | - | 2003–2007 | |
| 155 | Jesup & Lamont Securities Corp | 1 | 0 | $122,500,000 | 16 | 0 | 15 | $1,612,710,688 | - | 1998–2007 | Broker-dealer |
| 156 | Robotti & Company Inc | 1 | 0 | $122,500,000 | 2 | 0 | 1 | $792,820,000 | - | 1997–2004 | Broker-dealer |
| 157 | Other assets | 2 | 0 | $121,650,000 | 6 | 0 | 5 | $590,175,000 | - | 1997–2007 | |
| 158 | Howe Barnes Investments Inc | 1 | 0 | $114,600,000 | 38 | 6 | 29 | $1,401,827,155 | $109,910,000 | 1996–2006 | |
| 159 | Advanced Equities, Inc | 1 | 0 | $114,369,587 | 2 | 0 | 2 | $268,369,587 | - | 2000–2004 | Broker-dealer |
| 160 | BB&T Capital Markets, A division of Scott & Stringfellow | 1 | 0 | $110,500,000 | 2 | 0 | 1 | $155,230,000 | - | 2003–2004 | |
| 161 | December 31, March 31 | 2 | 0 | $106,400,000 | 2 | 0 | 2 | $106,400,000 | - | 2004 | |
| 162 | December 31, Pro Forma | 1 | 0 | $106,250,000 | 1 | 0 | 1 | $106,250,000 | - | 2004 | |
| 163 | Deferred subscription solicitation costs | 1 | 0 | $106,250,000 | 1 | 0 | 1 | $106,250,000 | - | 2004 | |
| 164 | Jefferies Broadview, a division of Jefferies & Company, Inc | 1 | 0 | $105,600,000 | 1 | 0 | 1 | $105,600,000 | - | 2004 | |
| 165 | Finance contract receivables, net | 1 | 0 | $105,000,000 | 1 | 0 | 1 | $105,000,000 | - | 2004 | |
| 166 | Goodwill | 1 | 0 | $105,000,000 | 3 | 0 | 3 | $190,150,000 | - | 2004–2007 | |
| 167 | Nine months ended September 30 | 1 | 0 | $105,000,000 | 3 | 0 | 3 | $185,000,000 | - | 1997–2004 | |
| 168 | Property and equipment, net | 1 | 0 | $105,000,000 | 3 | 0 | 3 | $897,750,000 | - | 1997–2004 | |
| 169 | Purchased receivables | 1 | 0 | $105,000,000 | 1 | 0 | 1 | $105,000,000 | - | 2004 | |
| 170 | Successor December 31, September 30, September 30 | 1 | 0 | $105,000,000 | 1 | 0 | 1 | $105,000,000 | - | 2004 | |
| 171 | Citigroup Global Markets Canada Inc | 1 | 0 | $100,800,000 | 1 | 0 | 1 | $100,800,000 | - | 2004 | |
| 172 | Clarus Securities Inc | 1 | 0 | $100,800,000 | 1 | 0 | 1 | $100,800,000 | - | 2004 | |
| 173 | Octagon Capital Corporation | 1 | 0 | $100,800,000 | 1 | 0 | 1 | $100,800,000 | - | 2004 | |
| 174 | Orion Securities (USA) Inc | 1 | 0 | $100,800,000 | 1 | 0 | 1 | $100,800,000 | - | 2004 | Broker-dealer |
| 175 | B Rothers | 1 | 0 | $93,750,000 | 2 | 0 | 2 | $173,750,000 | - | 2004–2007 | |
| 176 | Crest Securities | 1 | 0 | $93,750,000 | 4 | 0 | 4 | $359,650,000 | - | 2004–2012 | |
| 177 | D Eutsche B Ank | 1 | 0 | $93,750,000 | 1 | 0 | 1 | $93,750,000 | - | 2004 | |
| 178 | F Argo S Ecurities | 1 | 0 | $93,750,000 | 1 | 0 | 1 | $93,750,000 | - | 2004 | |
| 179 | L Ehman | 1 | 0 | $93,750,000 | 2 | 0 | 2 | $173,750,000 | - | 2004–2007 | |
| 180 | Marathon Capital, LLC | 1 | 0 | $93,750,000 | 1 | 0 | 1 | $93,750,000 | - | 2004 | |
| 181 | M Arkets | 1 | 0 | $93,750,000 | 3 | 0 | 2 | $196,810,000 | - | 2004–2007 | |
| 182 | S Ecurities | 1 | 0 | $93,750,000 | 2 | 0 | 1 | $168,750,000 | - | 2004–2005 | |
| 183 | W Ells | 1 | 0 | $93,750,000 | 1 | 0 | 1 | $93,750,000 | - | 2004 | |
| 184 | C.e. Unterberg, Towbin | 3 | 0 | $93,500,000 | 162 | 10 | 150 | $12,740,622,216 | $451,080,012 | 1997–2007 | Broker-dealer |
| 185 | B. Riley Securities | 1 | 0 | $86,272,082 | 94 | 41 | 83 | $15,646,024,075 | $5,498,039,764 | 2004–2026 | Broker-dealer |
| 186 | Adjustments | 1 | 0 | $85,500,000 | 1 | 0 | 1 | $85,500,000 | - | 2004 | |
| 187 | Accredited Home | 1 | 0 | $85,000,000 | 1 | 0 | 0 | $85,000,000 | - | 2004 | |
| 188 | provided by the Finance Law or CONSOB Regulation no | 1 | 0 | $80,600,000 | 1 | 0 | 1 | $80,600,000 | - | 2004 | |
| 189 | Short term investments | 2 | 0 | $78,900,000 | 15 | 1 | 15 | $1,396,604,967 | $32,000,000 | 1996–2020 | |
| 190 | Mesirow Financial | 1 | 0 | $77,500,000 | 52 | 0 | 47 | $1,712,207,725 | - | 1994–2004 | Broker-dealer |
| 191 | Deferred cost of revenues | 1 | 0 | $77,000,000 | 1 | 0 | 1 | $77,000,000 | - | 2004 | |
| 192 | ASSETS Current assets Cash and cash equivalents | 1 | 0 | $76,670,000 | 2 | 0 | 2 | $76,670,000 | - | 1998–2004 | |
| 193 | Deferred income taxes | 1 | 0 | $76,670,000 | 4 | 0 | 3 | $596,595,000 | - | 1997–2010 | |
| 194 | Pro December 31, Forma April 4, April 4 | 1 | 0 | $76,670,000 | 1 | 0 | 1 | $76,670,000 | - | 2004 | |
| 195 | R Aymond J Ames | 1 | 0 | $75,337,500 | 7 | 2 | 6 | $1,085,249,624 | $72,695,524 | 2004–2016 | |
| 196 | Consolidated Balance Sheets December 31 | 1 | 0 | $75,000,000 | 3 | 0 | 2 | $114,350,000 | - | 2004–2015 | |
| 197 | Interest receivable | 1 | 0 | $75,000,000 | 3 | 0 | 3 | $143,875,000 | - | 2004–2007 | |
| 198 | Marketable securities | 1 | 0 | $75,000,000 | 7 | 2 | 4 | $359,620,000 | $38,600,000 | 2000–2017 | |
| 199 | Pro-forma | 1 | 0 | $75,000,000 | 3 | 0 | 3 | $221,540,000 | - | 1998–2005 | |
| 200 | ADSs Morgan Stanley & Co. International Limited | 1 | 0 | $73,500,000 | 10 | 0 | 10 | $3,946,958,790 | - | 2004–2021 | |
| 201 | Federal funds sold | 2 | 1 | $69,450,000 | 3 | 2 | 2 | $87,450,000 | $70,800,000 | 2004–2006 | |
| 202 | joint book-running managers. UBS Securities LLC | 1 | 0 | $59,150,000 | 1 | 0 | 1 | $59,150,000 | - | 2004 | |
| 203 | Brean Murray & Co., Inc | 1 | 0 | $54,529,832 | 86 | 4 | 72 | $5,576,591,942 | $27,362,500 | 1996–2005 | |
| 204 | Investments | 1 | 1 | $53,770,000 | 2 | 1 | 2 | $274,770,000 | $53,770,000 | 2004–2017 | |
| 205 | Joseph Gunnar | 2 | 0 | $53,700,000 | 54 | 15 | 37 | $2,145,879,253 | $139,297,498 | 2004–2026 | |
| 206 | Premises and equipment, net | 1 | 0 | $52,800,000 | 1 | 0 | 1 | $52,800,000 | - | 2004 | |
| 207 | September 30, December 31 | 1 | 0 | $52,800,000 | 1 | 0 | 1 | $52,800,000 | - | 2004 | |
| 208 | stock | 1 | 0 | $52,800,000 | 1 | 0 | 1 | $52,800,000 | - | 2004 | |
| 209 | the Securities Offered Hereby Are Not Savings | 1 | 0 | $52,800,000 | 1 | 0 | 1 | $52,800,000 | - | 2004 | |
| 210 | America's Growth Capital | 1 | 0 | $50,000,000 | 3 | 0 | 3 | $219,116,176 | - | 2004–2007 | Broker-dealer |
| 211 | Delafield Hambrecht | 1 | 0 | $49,600,000 | 2 | 1 | 2 | $77,600,000 | $28,000,000 | 2002–2004 | Broker-dealer |
| 212 | Sharebuilder Securities Corporation | 1 | 0 | $49,600,000 | 1 | 0 | 1 | $49,600,000 | - | 2004 | Broker-dealer |
| 213 | Sg C Owen | 1 | 0 | $49,500,000 | 2 | 0 | 2 | $100,500,000 | - | 2003–2004 | |
| 214 | Restricted short-term cash equivalent | 1 | 0 | $47,727,274 | 1 | 0 | 1 | $47,727,274 | - | 2004 | |
| 215 | below. Bear, Stearns & Co. Inc | 1 | 0 | $45,000,000 | 1 | 0 | 1 | $45,000,000 | - | 2004 | |
| 216 | amounts) December 31 | 1 | 0 | $42,000,000 | 1 | 0 | 1 | $42,000,000 | - | 2004 | |
| 217 | Leerink Partners | 1 | 0 | $42,000,000 | 284 | 180 | 270 | $46,540,396,068 | $22,542,620,651 | 1996–2026 | Broker-dealer |
| 218 | Plaza, 450 Fifth Street, N.W., Washington, D.C | 1 | 0 | $42,000,000 | 1 | 0 | 1 | $42,000,000 | - | 2004 | |
| 219 | Capital Growth Financial, L.L.C | 1 | 0 | $41,700,000 | 6 | 3 | 5 | $180,854,342 | $47,049,998 | 2004–2007 | Broker-dealer |
| 220 | First Montauk Securities Corp | 1 | 0 | $41,700,000 | 6 | 0 | 5 | $345,393,000 | - | 1998–2004 | Broker-dealer |
| 221 | GunnAllen Securities | 1 | 0 | $41,700,000 | 1 | 0 | 1 | $41,700,000 | - | 2004 | |
| 222 | I-bankers Securities | 1 | 0 | $41,700,000 | 146 | 26 | 144 | $19,803,503,500 | $1,933,060,000 | 2000–2026 | |
| 223 | J.p. Turner & Company, L.l.c | 1 | 0 | $41,700,000 | 4 | 1 | 4 | $177,004,344 | $22,000,000 | 1999–2013 | Broker-dealer |
| 224 | Kirlin Securities, Inc | 1 | 0 | $41,700,000 | 1 | 0 | 1 | $41,700,000 | - | 2004 | |
| 225 | Pali Capital, Inc | 1 | 0 | $41,700,000 | 6 | 0 | 6 | $357,545,000 | - | 2002–2007 | Broker-dealer |
| 226 | Paulson Investment | 1 | 1 | $41,700,000 | 19 | 9 | 14 | $310,685,000 | $146,140,000 | 1996–2025 | Broker-dealer |
| 227 | S.W. Bach & Company | 1 | 0 | $41,700,000 | 2 | 0 | 2 | $52,500,000 | - | 2004–2005 | Broker-dealer |
| 228 | vFinance Securities, Inc | 1 | 0 | $41,700,000 | 1 | 0 | 1 | $41,700,000 | - | 2004 | |
| 229 | Weisel Partners Llc | 1 | 0 | $41,250,000 | 9 | 0 | 9 | $1,090,123,996 | - | 2004–2010 | |
| 230 | below: CIBC World Markets Corp | 1 | 1 | $40,000,000 | 2 | 2 | 2 | $68,125,000 | $68,125,000 | 2004–2005 | |
| 231 | Hospitality Corporation | 1 | 0 | $40,000,000 | 1 | 0 | 1 | $40,000,000 | - | 2004 | |
| 232 | Preferred Security | 1 | 1 | $40,000,000 | 1 | 1 | 1 | $40,000,000 | $40,000,000 | 2004 | |
| 233 | respective names below: Thomas Weisel Partners LLC | 1 | 1 | $39,375,000 | 1 | 1 | 1 | $39,375,000 | $39,375,000 | 2004 | |
| 234 | Sterne Agee & Leach, Inc | 1 | 1 | $31,524,839 | 44 | 3 | 32 | $3,491,825,409 | $376,362,133 | 1994–2015 | Broker-dealer |
| 235 | Ladenburg Thalmann | 1 | 1 | $30,250,000 | 287 | 59 | 241 | $24,878,260,432 | $3,026,781,620 | 1994–2026 | |
| 236 | Sands Brothers & Co | 1 | 0 | $30,100,000 | 153 | 4 | 142 | $12,832,364,998 | $40,012,500 | 1996–2004 | |
| 237 | Maxim Securities, Inc | 1 | 0 | $30,000,000 | 2 | 0 | 2 | $95,010,000 | - | 2003–2004 | |
| 238 | Inventory | 1 | 0 | $29,400,000 | 6 | 2 | 5 | $343,800,363 | $50,635,655 | 2002–2019 | |
| 239 | Pro Forma at December 31 | 1 | 0 | $26,400,000 | 1 | 0 | 1 | $26,400,000 | - | 2004 | |
| 240 | Punk, Ziegel & Company | 1 | 1 | $24,000,000 | 30 | 3 | 27 | $2,499,164,950 | $283,606,000 | 1997–2005 | Broker-dealer |
| 241 | Allen C. Ewing & Co | 1 | 0 | $22,000,000 | 15 | 0 | 12 | $1,034,749,600 | - | 1996–2004 | Broker-dealer |
| 242 | respective names below: Advest, Inc | 1 | 1 | $22,000,000 | 1 | 1 | 0 | $22,000,000 | $22,000,000 | 2004 | |
| 243 | H Ill | 1 | 0 | $21,450,000 | 1 | 0 | 1 | $21,450,000 | - | 2004 | |
| 244 | Gilford Securities | 2 | 2 | $21,212,500 | 17 | 5 | 14 | $423,227,500 | $54,912,500 | 1996–2014 | Broker-dealer |
| 245 | December 31 September 30 | 1 | 0 | $20,000,000 | 4 | 1 | 3 | $148,600,000 | $17,600,000 | 2004–2015 | |
| 246 | Inventories, net | 1 | 1 | $20,000,000 | 2 | 1 | 2 | $357,500,000 | $20,000,000 | 2004–2008 | |
| 247 | January 5, January 4, October 4 | 1 | 0 | $16,740,000 | 1 | 0 | 1 | $16,740,000 | - | 2004 | |
| 248 | Other receivables | 1 | 0 | $16,740,000 | 3 | 0 | 3 | $209,740,000 | - | 2004–2018 | |
| 249 | Ryan Beck & Co | 1 | 1 | $16,740,000 | 48 | 7 | 37 | $3,077,370,294 | $204,082,965 | 1996–2006 | Broker-dealer |
| 250 | Cash and cash equivalents | 1 | 0 | $16,650,000 | 2 | 0 | 2 | $95,400,000 | - | 2004–2005 | |
| 251 | CONSOLIDATED BALANCE SHEETS December 31, June 30 | 1 | 0 | $16,650,000 | 1 | 0 | 1 | $16,650,000 | - | 2004 | |
| 252 | Deferred taxes, net (Note 6) | 1 | 0 | $16,650,000 | 1 | 0 | 1 | $16,650,000 | - | 2004 | |
| 253 | Interest-bearing deposits at other financial institutions | 1 | 0 | $16,650,000 | 1 | 0 | 1 | $16,650,000 | - | 2004 | |
| 254 | Other real estate owned — | 1 | 0 | $16,650,000 | 1 | 0 | 1 | $16,650,000 | - | 2004 | |
| 255 | Premises and equipment, net (Note 4 and 8) | 1 | 0 | $16,650,000 | 1 | 0 | 1 | $16,650,000 | - | 2004 | |
| 256 | Securities available for sale (Note 2) | 1 | 0 | $16,650,000 | 1 | 0 | 1 | $16,650,000 | - | 2004 | |
| 257 | Parker/Hunter Inc | 2 | 0 | $14,145,000 | 136 | 2 | 127 | $17,001,689,680 | $20,000,000 | 1996–2004 | |
| 258 | C.e. Unterberg | 1 | 0 | $13,500,000 | 3 | 0 | 2 | $237,011,110 | - | 2004–2006 | |
| 259 | Hill, Inc | 1 | 0 | $13,500,000 | 1 | 0 | 0 | $13,500,000 | - | 2004 | |
| 260 | Federal funds sold and other temporary investments | 1 | 0 | $13,000,000 | 1 | 0 | 0 | $13,000,000 | - | 2004 | |
| 261 | March 31, December 31 | 1 | 0 | $13,000,000 | 2 | 0 | 0 | $31,000,000 | - | 2004–2006 | |
| 262 | Community Bancshares | 1 | 1 | $12,000,000 | 1 | 1 | 0 | $12,000,000 | $12,000,000 | 2004 | |
| 263 | Kaufman Bros. Co | 1 | 1 | $12,000,000 | 76 | 4 | 69 | $5,716,452,667 | $63,000,000 | 1996–2007 | Broker-dealer |
| 264 | Source Capital Group, Inc | 1 | 1 | $12,000,000 | 1 | 1 | 1 | $12,000,000 | $12,000,000 | 2004 | Broker-dealer |
| 265 | Transactions Supervision Act | 1 | 0 | $1,630,784 | 2 | 0 | 2 | $114,130,784 | - | 2004–2006 | |
| 266 | ABN Amro Bank N.V | 1 | 0 | - | 6 | 0 | 4 | $1,359,475,000 | - | 1994–2011 | |
| 267 | First Shanghai Securities | 1 | 0 | - | 6 | 0 | 6 | $3,717,598,859 | - | 2003–2007 | |
| 268 | First Southwest Company | 1 | 0 | - | 45 | 0 | 37 | $8,248,538,480 | - | 1994–2007 | Broker-dealer |
| 269 | HCFP/Brenner Securities | 1 | 1 | - | 11 | 3 | 9 | $4,907,725,004 | $260,050,000 | 1999–2007 | Broker-dealer |
| 270 | Kotak Investment Banking | 1 | 0 | - | 2 | 0 | 2 | $675,000,000 | - | 2004–2015 | |
| 271 | Kotak Mahindra, Inc | 1 | 0 | - | 2 | 0 | 2 | $675,000,000 | - | 2004–2015 | Broker-dealer |
| 272 | of Contents | 1 | 1 | - | 251 | 64 | 185 | $7,461,576,212 | $2,749,527,410 | 2004–2026 | |
| 273 | SG Corporate & Investment Banking | 1 | 0 | - | 4 | 0 | 2 | $877,280,000 | - | 2004–2005 | |
| 274 | Shanghai Banking | 1 | 0 | - | 1 | 0 | 1 | - | - | 2004 | |
| 275 | Siebert Capital Markets | 1 | 0 | - | 4 | 0 | 4 | $2,134,200,000 | - | 2004–2009 | |
| 276 | SMBC Nikko | 1 | 0 | - | 56 | 3 | 51 | $74,526,223,163 | $213,570,852 | 2003–2026 | |
| 277 | Southwest Securities | 1 | 1 | - | 66 | 3 | 56 | $5,173,424,887 | $52,350,000 | 1994–2012 | Broker-dealer |
| 278 | The Hongkong and | 1 | 0 | - | 1 | 0 | 1 | - | - | 2004 | |
| 279 | WestLB AG | 1 | 1 | - | 1 | 1 | 1 | - | - | 2004 |
279 firms active in 2004, 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.