Honesty, Integrity, Performance

CastleOak Securities, L.P. is an industry leading minority-owned, boutique investment bank focused on superior client service in capital markets, sales & trading, and financial advisory

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Headquartered in New York City, the firm specializes in primary and secondary sales and trading of fixed income, equity, and money market securities.

CastleOak Securities is a boutique investment bank focused on the capital markets, serving a broad array of corporate, governmental and institutional clients. Since its founding in 2006, CastleOak has grown to nearly 50 professionals and has assisted its clients on public offerings totaling over $3.6 trillion.

CastleOak is an independent, leading financial services provider managed by a team of Wall Street veterans with extensive corporate and institutional investor relationships, and a track record of success.

Our founding partners have worked together for over two decades, ensuring a long-term commitment to clients and an internal culture of excellence

Our Team
CastleOak is proud to count some of the world’s most recognized brands and industry leaders amongst its client base

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September 15, 2021
$773,684,226
Thoughtworks Holding, Inc.

36,842,106 Shares (IPO)

Co-Manager
CastleOak Securities, L.P.
September 14, 2021
$425,000,000
New Residential Investment Corp.

7.000% Perp NC5 (PFD)

Selling-Group
CastleOak Securities, L.P.
September 13, 2021
$375,000,000
Protective Life Global Funding

1.303% 9/20/2026 (5yr)

Co-Manager
CastleOak Securities, L.P.
September 13, 2021
$2,900,000,000
Bank of Nova Scotia

0.400% 9/15/2023 (2yr)

FRN 9/15/2023 (2yr FRN)

1.300% 9/15/2026 (5yr)

FRN 9/15/2026 (5yr FRN)

Co-Manager
CastleOak Securities, L.P.
September 13, 2021
$500,000,000
Johnson Controls International

2.000% 9/16/2031 (10yr Sustainability Bond)

Co-Manager
CastleOak Securities, L.P.
September 8, 2021
$1,000,000,000
Mizuho Financial Group

2.564% 9/13/2031 (10yr Subordinated Notes)

Co-Manager
CastleOak Securities, L.P.
September 8, 2021
$7,000,000,000
Walmart Inc.

1.050% 9/17/2026 (5yr)

1.500% 9/22/2028 (7yr)

1.800% 9/22/2031 (10yr Sustainability Bond)

2.500% 9/22/2041 (20yr)

2.650% 9/22/2051 (30yr)

Co-Manager
CastleOak Securities, L.P.
September 8, 2021
€1,800,000,000 £250,000,000
Eli Lilly and Company

0.500% 9/14/2033 (12yr Euro Green Bond)

1.125% 9/14/2051 (30yr Euro)

1.375% 9/14/2061 (40yr Euro)

0.500% 9/14/2023 (22yr Sterling)

Co-Manager
CastleOak Securities, L.P.
September 7, 2021
$4,500,000,000
Toronto-Dominion Bank

0.700% 9/10/2024 (3yr)

FRN 9/10/2024 (3yr FRN)

1.250% 9/10/2026 (5yr)

FRN 9/10/2026 (5yr FRN)

2.000% 9/10/2031 (10yr)

Co-Manager
CastleOak Securities, L.P.
August 18, 2021
$337,000,000
New Residential Investment Corp.

2021-INV1 (Various Tranches)

Co-Manager
CastleOak Securities, L.P.
August 10, 2021
$3,500,000,000
HSBC Holdings

0.732% 8/17/2024

2.206% 8/17/2029

Co-Manager
CastleOak Securities, L.P.
August 5, 2021
$1,500,000,000
Ford Motor Credit

2.700% 8/10/2027

Co-Manager
CastleOak Securities, L.P.
August 4, 2021
$2,000,000,000
Raytheon Technologies

1.900% 9/01/2031

2.820% 9/01/2051

Co-Manager
CastleOak Securities, L.P.
August 3, 2021
$4,000,000,000
UBS Group AG

0.700% 8/09/2024

FRN 8/09/2024

1.494% 8/10/2027

Lead-Manager
CastleOak Securities, L.P.
August 2, 2021
$3,750,000,000
Credit Suisse AG NY Branch

0.520% 8/09/2023

FRN 8/09/2023

1.250% 8/10/2027

Co-Manager
CastleOak Securities, L.P.
July 30, 2021
$614,000,000
Credit Suisse

CSMC 2021-RPL6 (Various Tranches)

CSMC 2021-NQM5 (Various Tranches)

Co-Manager
CastleOak Securities, L.P.
July 29, 2021
$500,000,000
New York Life

1.850% 8/01/2031

Co-Manager
CastleOak Securities, L.P.
July 29, 2021
$6,500,000,000
Apple Inc.

1.400% 8/05/2028

1.700% 8/05/2031

2.700% 8/05/2051

2.850% 8/05/2061

Co-Manager
CastleOak Securities, L.P.
July 27, 2021
$1,000,000,000
Capital One Financial

2.359% 7/21/2032

Co-Manager
CastleOak Securities, L.P.
July 27, 2021
€615,000,000
Nasdaq, Inc.

0.900% 7/30/2033 (EURO)

Co-Manager
CastleOak Securities, L.P.
July 26, 2021
$1,500,000,000
Royal Bank of Canada

SOFR FRN 7/29/2024

0.675% 7/29/2024

Co-Manager
CastleOak Securities, L.P.
July 22, 2021
$2,000,000,000
JPMorgan Chase

4.200% PFD

Underwriter
CastleOak Securities, L.P.
July 15, 2021
$3,500,000,000
Morgan Stanley

2.239% 7/21/2032

Lead-Manager
CastleOak Securities, L.P.
July 7, 2021
$377,000,000
Amherst Residential

Amherst 2021 SFR-2 (Various Tranches)

Co-Manager
CastleOak Securities, L.P.
July 6, 2021
$1,700,000,000
Bank of Montreal

0.625% 7/09/2024

FRN 7/09/2024

Co-Manager
CastleOak Securities, L.P.
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