GunnAllen Financial, Inc

GunnAllen Financial, Inc. was a Tampa, Florida-based broker-dealer that served as a co-underwriter on two SPAC IPOs, holding no left-lead mandates during its period of activity in the market. Operating primarily during the early 2000s wave of blank-check vehicle formation in the financial services sector, the firm carries one active mandate and zero closed merger transactions in its SPAC track record. GunnAllen Financial was subsequently expelled by FINRA in 2009, ending its tenure as a registered broker-dealer. Researchers tracking the underwriting histories and mandate timelines of smaller SPAC participants can sign up for full data access at SpacDesk.

Underwriter data extracted from S-1 and S-1/A prospectus cover sheets filed with the SEC. Role classification (left lead, co-manager) based on syndicate position order. Trust size reflects declared trust at IPO.