Underwriting Services

Solicitation #:7590
Issue Date:10/28/2022
Proposal Due:11/29/2022 - 3:00 PM
Classification:Professional Services
Type:Request for Proposal (RFP)
Status:In Progress
Contract Terms
3 years, with 1 optional year
Location Where Goods to be Delivered or Service Performed
Statewide

The Dormitory Authority State of New York (DASNY) seeks proposals from qualified firms, registered with FINRA and/or SEC, to serve as Senior Managing Underwriters, Co-Managing Underwriters and Selling Group Members in connection with the proposed future issuance of bonds by DASNY.  It is intended that multiple firms that are qualified underwriters will be selected for inclusion on DASNY’s Qualified Underwriter List (“List”).  DASNY expects to sell bond-issues through the Personal Income Tax Revenue Bond Program and the Sales Tax Revenue Bond Program during the term of this engagement.  Firms included on the List may also be used for other financings that may be undertaken by DASNY during the engagement period.

Interested firms must demonstrate: experience, the ability to structure and sell DASNY’s bond issues, knowledge and technical expertise, capitalization, diversity and commitment to equal opportunity programs.  Firms applying to be Senior Managing Underwriters must also demonstrate insights and provide new ideas.

DASNY is committed to diversity and equal employment opportunities among its contractors, consultants, and vendors. It is the policy to maximize opportunities for the participation of Minority-Owned, Women-Owned (M/WBE), and Service-Disabled Veteran-Owned Businesses (SDVOB) firms. Although no goals for participation in the work by certified M/WBE and SDVOB firms have been established for this procurement, the selected firms shall use good faith efforts to provide for meaningful participation by M/WBE and SDVOB firms in the work where feasible. 

Pursuant to Executive Order No. 170.1 – Uniform Guidelines for Responsibility Determinations, Executive Order No. 125 – NYS Vendor Responsibility Questionnaire and Executive Order No. 192 – Continuing Vendor Integrity, DASNY may only award a contract to a responsible proposer. A responsible proposer must have the integrity to justify the award of public dollars and the capacity to perform the requirements of the contract fully. The proposer must file a vendor responsibility questionnaire with DASNY. The questionnaire provides the proposer an opportunity to self-disclose any issues and provide necessary information, which DASNY will use as part of its determination.

Firms interested in responding to this solicitation may access the RFP from DASNY’s website at https://www.dasny.org/index.php/opportunities/rfps-bids.  The deadline for responses to the RFP is 3:00PM on November 29, 2022.  Responses received after this date will not be accepted.

In accordance with State Finance Law § 139-j and § 139-k, this solicitation includes and imposes certain restrictions on communications between Dormitory Authority personnel and an Offeror during the procurement process. The designated staff for this procurement is David Fenichel, Email: ([email protected]). Contacts made to other Dormitory Authority personnel regarding this procurement may disqualify the Offeror and affect future procurements with governmental entities in the State of New York. Please refer to the Authority’s website (www.dasny.org) for Authority policy and procedures regarding this law, or the OGS website (https://ogs.ny.gov/acpl/procurement-lobbying-law) (www.ogs.state.ny.us/aboutogs/regulations/defaultAdvisoryCouncil.html) for more information about this law. All proposers, domestic and foreign, must be in compliance with New York State business registration requirements. Contact the NYS Department of State regarding compliance.

Primary Contact

Dave Fenichel

Contract Administrator

DASNY

Professional Services

Albany

515 Broadway

Albany, NY 12207

United States

Phone: 518-257-3071

Email: [email protected]

Secondary Contact

Christopher Currey

Sr. Contract Administrator

DASNY

Professional Services Contracts

Albany

515 Broadway

Albany , NY 12207

United States

Phone: 518-257-3589

Email: [email protected]

Submit To Contact

Dave Fenichel

Contract Administrator

DASNY

Professional Services

Albany

515 Broadway

Albany, NY 12207

United States

Phone: 518-257-3071

Email: [email protected]

Company Name Contact Name Phone Email Website Fax Designation Goods/Services
Academy Securities, Inc. Emilio Fernandez 6463959858 [email protected] www.academysecurities.com
  • Minority Owned Business (MBE)
  • Service Disabled Veteran Owned Business (SDVOB)
  • Equal Employment Opportunity (EEO)
AmeriVet Securities, Inc. Michael Dmitriyevich 6468096940 [email protected] amerivetsecurities.com
  • Minority Owned Business (MBE)
  • Service Disabled Veteran Owned Business (SDVOB)
  • NYS Certified Service Disabled Veteran Owned Business (NYS Cert. SDVOB)
Co-Managing Underwriter
Core Construction Group LLC SAIF CHAUDHRY 212-920-1926 [email protected] CORECONSTRUCTIONGROUP.COM
  • Minority Owned Business (MBE)
CONCRETE, MASONRY, TILE, PAVERS BATHROOM KITCHEN REMODELING, BRICK WORK
Crews & Associates Ryan Higgins 8574085112 [email protected]
Estrada Hinojosa & Company, Inc. Belinda Garza 2146581670 [email protected] www.estradahinojosa.com 2142928849
  • Minority Owned Business (MBE)
Underwriting;
Friends Traders Faisal Aziz Bhatti +923121409208 [email protected]
  • Minority Owned Business (MBE)
Janney Montgomery Scott LLC Brigid Lau 2156654528 [email protected] www.janney.com
  • Equal Employment Opportunity (EEO)
Mesirow Financial, Inc. Joan Savage 312-595-2275 [email protected] www.mesirow.com
  • Equal Employment Opportunity (EEO)
Morgan Stanley Marisa Berry 2127619472 [email protected]
Multi-Bank Securities, Inc. Jillian Lewczynski 8009679045 [email protected] mbssecurities.com
  • Service Disabled Veteran Owned Business (SDVOB)
  • NYS Certified Service Disabled Veteran Owned Business (NYS Cert. SDVOB)
Broker-dealer services
Rice Financial Products Company Shannon Dunn 2129089200 [email protected] www.ricefinancialproducts.com 2129089200
  • Minority Owned Business (MBE)
Bond underwriting
San Blas Securities, LLC Eric Small 800-559-0447 [email protected] www.sanblassecurities.com
  • Minority Owned Business (MBE)
Investment Banking
Wells Fargo Bank NA Kojo Asiedu 212.214.2817 [email protected] https://www.wellsfargo.com/