Certified Dealer List

July 1, 2021 *Changes as of 8/19/21 

TO: PUBLIC TREASURERS

SUBJECT: CERTIFIED DEALERS

Following is the list of CERTIFIED DEALERS for the quarter beginning July 1, 2021 through September 30, 2021. THIS LIST SUPERSEDES THE LIST DATED April 1, 2021.

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, 2021 updated April 15, 2021. Agent and Firm Deletions: BMO Capital Markets and all agents are deleted, Incapital LLC and all agents are deleted; TD Securities (USA) LLC and all agents are deleted; Wells Fargo Securities has deleted 7 agents, please check the list to verify your agents are still certified. Additions: RBC Capital Markets has added Quinn Jensen; Robert W. Baird & Co Inc., is back on the list with 3 agents, Zachary Harris, Wesley Sullivan & Kathleen Werlein.**Addition as of 8/19/21: BMO Capital Markets Corp is back on the list with three agents. InspereX (fka Incapital LLC) is back on the list with two agents. See List for names.**   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
Barclays Capital Inc. Peter Bjurstein
*BMO Capital Markets Corp *Brock Griffin
*Shawn Oxenham
*William Pilsbury
DA Davidson & Co. Marcus Nield
InspereX (fka Incapital LLC) *William H Money III
*Traci Salinas
Moreton Capital Markets, LLC Benjamin Byington
Larry Lundberg
Ryan Stoker
Raymond James and Associates, Inc. Amy Iannella
Mark McKinnon
RBC Capital Markets, LLC

Eric Ajlouny
Scott Chappell
John Hallgren
*Quinn Jensen
Stephen Manning
John Menefee
Paul Schulte
Michael Roskopf

*Robert W Baird & Co Inc *Zachary Harris
*Wesley M Sullivan
*Kathleen Werlein
Stifel Nicolaus & Co Inc John Crandall
Susan Gardner
Wells Fargo Securities, LLC. Jonathan Cancilla
Doug Chin
Thomas Degenaars
Thomas Hedges
Brandon Hodge
Sarah Taylor
Tyler Tayrien
Zions Bank Capital Markets Blake Bihm
Jacqueline Davies
Neil Decker
Karen Keeley
Brad Mayeda
Malivanh Majee
Wanda Pounders
Daniel Ricks
Ty Roberts
Teresa Yancey
Zions Direct, Inc. Jacqueline Davies
Neil Decker
Karen Keeley
Brad Mayeda
Daniel Ricks
Ty Roberts

*New as of this list.