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 |
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| RBC Capital Markets, LLC |
Eric Ajlouny | ||
| *Robert W Baird & Co Inc | *Zachary Harris *Wesley M Sullivan *Kathleen Werlein |
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| 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 |
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| Zions Direct, Inc. | Jacqueline Davies Neil Decker Karen Keeley Brad Mayeda Daniel Ricks Ty Roberts |
*New as of this list.