July 1, 2022
TO: PUBLIC TREASURERS
SUBJECT: CERTIFIED DEALERS
Following is the list of CERTIFIED DEALERS for the quarter beginning July 1, 2022 through September 30, 2022. THIS LIST SUPERSEDES THE LIST DATED April 1, 2022.
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 July 1, 2022. Agent and Firm Deletions: :Robert W Baird and all agents are deleted; BMO Capital Markets and all agents are deleted; RBS Capital Markets deleted Steven Manning on 4/21/22; Stifel Nicolaus & Co deleted Susan Gardner; Wells Fargo Securities deleted Doug Chin & Thomas Hedges; Zions Bank Capital Markets deleted five agents, Zions Direct deleted Karen Keeley. Additions: DA Davidson and one agent was added on 4/21/22; Morton /capital Markets added Cory McKendrick; Stifel Nicolaus added Dewey Anderson & Jon Walker. 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.
|Barclays Capital Inc.||Peter Bjurstein|
|*DA Davidson & Co||*Marcus Nield|
|InspereX||William H Money III
|Moreton Capital Markets, LLC||Benjamin Byington
|Raymond James and Associates, Inc.||Amy Iannella
|RBC Capital Markets, LLC||
|Stifel Nicolaus & Co Inc||*Dewey Anderson
|Wells Fargo Securities, LLC.||Jonathan Cancilla
|Zions Bank Capital Markets||Jacqueline Davies
|Zions Direct, Inc.||Jacqueline Davies
*New as of this list.