James A. Fagan has been with NW Financial since 1997, overseeing all of the Firm’s securities activities, including sales, trading, and municipal underwriting. Mr. Fagan serves as Managing Director and brings to bear over 40 years of Wall Street experience and expertise to structuring and executing taxable and tax-exempt transactions. Mr. Fagan is also actively involved as a financial advisor to several of the Firm’s major accounts.
As Financial Advisor, Mr. Fagan played instrumental roles in coordinating the pricing of the NJ Turnpike Authority’s 2003, 2005, 2009, 2012 issuance of over $4 billion of taxable/tax-exempt debt, the direct placement of $275 million of 2011 Issue, and the Authority’s $1.5 billion derivatives transactions. Most recently, Mr. Fagan has been serving as financial advisor to the Passaic Valley Sewerage Commission and the Rahway Valley Sewerage Authority
Mr. Fagan has served as senior banker/underwriter on several of the firm’s major transactions. The projects include the $115,730,000 Resource Recovery Facility Lease Revenue Refunding Bonds (Covanta Union, Inc. Lessee Series 2011A) (AMT); $21,015,000 Resource Recovery Facility Lease Revenue Bonds (Covanta Union Inc. Lessee Series 2011B); $47,245,000 Solid Waste System Revenue Refunding Bonds (County Deficiency Agreement Series 2011A) (Tax Exempt); and $21,835,000 Solid Waste System Revenue Refunding Bonds (County Deficiency Agreement Series 2011B) (Federally Taxable). He has been senior manager for the State of New Jersey, New Jersey Sports and Exposition Authority, New Jersey Educational Facility Financing Authority, New Jersey Economic Development Authority, Bergen County Improvement Authority, Hudson County Improvement Authority, Middlesex County Improvement Authority, Union County Improvement Authority, Morris County Improvement Authority and Mercer County Improvement Authority.
Mr. Fagan served as Executive Vice President for ICap, Inc., where he was responsible for underwriting municipal securities transactions, structuring turnkey projects, providing money management and financial advisory services to a host of clients. Prior to joining ICap, Inc., Mr. Fagan served as the President of PacifiCorp Capital Securities; Manager of the municipal underwriting department for Thomson McKinnon Securities; and was previously affiliated with Moore, Schley & Cameron, Dean Witter Reynolds, and Merrill Lynch.
Seton Hall University
Wharton School at University of Pennsylvania
Securities Institute Degree
7 (Full Registration/General Securities Representative)
24 (General Securities Principal)
27 (Financial and Operations Principal)
50 (Municipal Advisor Representative)
53 (Municipal Securities Principal,
63 (Uniform Securities Agent)
79 (Investment Banker)
SIE (Securities Industry Essentials Examination)