Investment Banks Stocks List

Symbol Grade Name
ASB Associated Banc-Corp
ATLC Atlanticus Holdings Corporation
BGCP BGC Partners, Inc.
CHMG Chemung Financial Corp
COWN Cowen Group, Inc.
CRAI CRA International,Inc.
CSGP CoStar Group, Inc.
FIBK First Interstate BancSystem, Inc.
HBAN Huntington Bancshares Incorporated
IBTX Independent Bank Group, Inc
NTRS Northern Trust Corporation
ORRF Orrstown Financial Services Inc
PBCT People's United Financial, Inc.
SAMG Silvercrest Asset Management Group Inc.
SBCF Seacoast Banking Corporation of Florida
SIVB SVB Financial Group
AUB Atlantic Union Bankshares Corporation
UMBF UMB Financial Corporation
BAC Bank of America Corporation
BAP Credicorp Ltd.
BCS Barclays PLC
BK Bank of New York Mellon Corporation (The)
BMO Bank Of Montreal
BNS Bank Nova Scotia Halifax Pfd 3
BR Broadridge Financial Solutions, Inc.
C Citigroup, Inc.
CBZ CBIZ, Inc.
CIB BanColombia S.A.
CS Credit Suisse Group
DB Deutsche Bank AG
DUC Duff & Phelps Utility & Corporate Bond Trust, Inc.
EMD Western Asset Emerging Markets Income Fund, Inc.
EV Eaton Vance Corporation
EVR Evercore Partners Inc
FHN First Horizon National Corporation
GHL Greenhill & Co., Inc.
GS Goldman Sachs Group, Inc. (The)
IX Orix Corp Ads
JMP JMP Group Inc
KEY KeyCorp
LAZ Lazard LTD.
JEF Jefferies Financial Group Inc.
MS Morgan Stanley
MUFG Mitsubishi UFJ Financial Group, Inc.
NML Neuberger Berman MLP Income Fund Inc.
NMR Nomura Holdings Inc
OPY Oppenheimer Holdings, Inc. Class A (DE)
PIPR Piper Sandler Companies
PNC PNC Financial Services Group, Inc. (The)
PRK Park National Corporation
RF Regions Financial Corporation
RJF Raymond James Financial, Inc.
RY Royal Bank Of Canada
SF Stifel Financial Corporation
SHG Shinhan Financial Group Co Ltd
UBS UBS AG
WD Walker & Dunlop, Inc
HSBC HSBC Holdings, plc.
SYE SPDR MFS Systematic Core Equity ETF
SYG SPDR MFS Systematic Growth Equity ETF
SYV SPDR MFS Systematic Value Equity ETF
MC Moelis & Company
DSE Duff & Phelps Select Energy MLP Fund Inc.
CFG Citizens Financial Group, Inc.
NHLD National Holdings Corporation
GSBD Goldman Sachs BDC, Inc.
RILY B. Riley Financial, Inc.
HLI Houlihan Lokey, Inc.
PJT PJT Partners Inc.
FIEE UBS AG FI Enhanced Europe 50 ETN due February 12, 2026
FIHD UBS AG UBS AG FI Enhanced Global High Yield ETN due March 3, 2026
CSTR CapStar Financial Holdings, Inc.
GECC Great Elm Capital Corp.
PBCTP People's United Financial, Inc. - Perpetual Preferred Series A Fixed-to-floating Rate
CADE Cadence Bancorporation
RILYZ B. Riley Financial, Inc. - 7.50% Senior Notes Due 2027
RILYG B. Riley Financial, Inc. - 7.25% Senior Notes due 2027
TSCAP TriState Capital Holdings, Inc. - Dep Shs Rep 1/40th Int 6.75% Srs A Non-Cum Pfd
RILYH B. Riley Financial, Inc. - 7.375% Senior Notes Due 2023
CLPS CLPS Incorporation
PCB Pacific City Financial Corporation
THCB Tuscan Holdings Corp.
TECTP Tectonic Financial, Inc. - 9.00% Fixed-to-Floating Rate Series B Non-Cumulative Perpetual Preferred Stock
TSCBP TriState Capital Holdings, Inc. - Depositary Share, representing a 1/40th Interest in a Share of 6.375% Fixed-to-Floating Rate Series B Non-Cumulative Perpetual Preferred Stock
PAACR Proficient Alpha Acquisition Corp. - Rights
HKIB AMTD International Inc.
HBT HBT Financial, Inc.
MCMJ Merida Merger Corp. I
MCACU Mountain Crest Acquisition Corp - Unit
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An investment bank is a financial services company or corporate division that engages in advisory-based financial transactions on behalf of individuals, corporations, and governments. Traditionally associated with corporate finance, such a bank might assist in raising financial capital by underwriting or acting as the client's agent in the issuance of securities. An investment bank may also assist companies involved in mergers and acquisitions (M&A) and provide ancillary services such as market making, trading of derivatives and equity securities, and FICC services (fixed income instruments, currencies, and commodities). Most investment banks maintain prime brokerage and asset management departments in conjunction with their investment research businesses. As an industry it is broken up into the Bulge Bracket (upper tier), Middle Market (mid-level businesses), and boutique market (specialized businesses).
Unlike commercial banks and retail banks, investment banks do not take deposits. From the passage of Glass–Steagall Act in 1933 until its repeal in 1999 by the Gramm–Leach–Bliley Act, the United States maintained a separation between investment banking and commercial banks. Other industrialized countries, including G7 countries, have historically not maintained such a separation. As part of the Dodd–Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd–Frank Act of 2010), the Volcker Rule asserts some institutional separation of investment banking services from commercial banking.All investment banking activity is classed as either "sell side" or "buy side". The "sell side" involves trading securities for cash or for other securities (e.g. facilitating transactions, market-making), or the promotion of securities (e.g. underwriting, research, etc.). The "buy side" involves the provision of advice to institutions that buy investment services. Private equity funds, mutual funds, life insurance companies, unit trusts, and hedge funds are the most common types of buy-side entities.
An investment bank can also be split into private and public functions with a Chinese wall separating the two to prevent information from crossing. The private areas of the bank deal with private insider information that may not be publicly disclosed, while the public areas, such as stock analysis, deal with public information. An advisor who provides investment banking services in the United States must be a licensed broker-dealer and subject to U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulation.

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