July 1, 2023
TO: PUBLIC TREASURERS
SUBJECT: CERTIFIED DEALERS
Following is the list of CERTIFIED DEALERS for the quarter beginning July 1, 2023 through September 30, 2023. THIS LIST SUPERSEDES THE LIST DATED April 1, 2023.
Transactions involving authorized deposits or investments of public funds may be conducted only through ISSUERS of securities authorized by Section 51-7-11(3), QUALIFIED DEPOSITORIES (refer to current list), Certified Investment Advisers (See List), or CERTIFIED AGENTS OF DEALERS included in this list. Authorized deposits or investments are generally limited to those securities listed in Section 51-7-11(3). All securities purchased from a certified dealer are required to be delivered to the public treasurer or to the treasurer's safekeeping bank.
The following are the changes from the list dated April 1, 2023. Agent and Firm Deletions: InspereX has deleted Tracy Salinas; Wells Fargo Securities has deleted Jonathan Cancilla, Thomas Degenaars, Daniel Quigley & Tyler Tayrien. Additions: ASL Capaital Markets Inc. is new on the list with two agents; Cantor Fitzgerald & Co is new on the list with one agent; Keybanc Capital Markets Inc. is new on the list with two agents. RBC Capital Markets has added one new agent; Wells Fargo Securities LLC has added two new agents; Zions Bank Capital Markets & Zions Direct have each added two new agents. All new additions are noted on the list below with a "*" notation. Name changes, mergers, etc: None. Please check your broker to make sure they are still on the list.
Broker-dealers included in this list have met the minimum standards established by Utah Administrative Code, Section R628-16. Inclusion in the list of certified dealers does not constitute an endorsement or recommendation by the Money Management Council or by the Securities Division of the Department of Commerce. Compliance with the Money Management Act and Rules of the Council continues to be the responsibility of each public treasurer.
| BROKER | AGENTS | |
|---|---|---|
| *ASL Capital Markets Inc. | *Jim Levenson *Michael Weir |
|
| Barclays Capital Inc. | Peter Bjurstein | |
| *Cantor Fitzgerald & Co | *Ron Jacoby | |
| DA Davidson & Co | Marcus Nield | |
| InspereX | William H Money III | |
| *Keybanc Capital Markets Inc. | *Brian Delany *Stephen Manning |
|
| Moreton Capital Markets, LLC | Benjamin Byington Larry Lundberg Cory McKendrick Ryan Stoker |
|
| Raymond James and Associates, Inc. | Amy Iannella Mark McKinnon |
|
| RBC Capital Markets, LLC |
Eric Ajlouny |
|
| Stifel Nicolaus & Co Inc | Dewey Anderson John Crandall Jon Walker |
|
| Wells Fargo Securities, LLC. | Scott Andrews *Michael Deep Evan Faucher Brandon Hodge Gregory McMahon *Jonatha Stutts Sarah Taylor David Vlacich |
|
| Zions Bank Capital Markets | Jacqueline Davies *Jared Jess Brad Mayeda Daniel Ricks Ty Roberts *Jocelyn Sudweeks |
|
| Zions Direct, Inc. | Jacqueline Davies *Jared Jess Brad Mayeda Daniel Ricks Ty Roberts *Jocelyn Sudweeks |
*New as of this list.