July 1, 2026
TO: PUBLIC TREASURERS
SUBJECT: CERTIFIED DEALERS Page 1 of 3
Following is the list of CERTIFIED DEALERS for the quarter beginning July 1, 2026, through September 30, 2026. THIS LIST SUPERSEDES THE LIST DATED April 1, 2026.
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 March19, 2026.
Agent & Firm Deletions:4 failed to renew. 13 Agents were removed. Additions: firms added with 16 new agents. Name changes, mergers, etc.: None.
All new additions are noted in the list below with a “*” notation.
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 |
|---|---|
| *Bank of Montreal, Chicago Branch |
*Tony Pham *William Pilsbury *Maximilian Lawall *Shawn Oxenham |
| DA Davidson & Co | Marcus Nield |
| Daiwa Capital Markets America |
John Lomond Andres Tamayo *Loreen Lasher |
| *Deutsche Bank Securities Inc. |
*Michael Fisher *Jennifer Gray *Sean Mcquire |
| Loop Capital Markets | William H Money III |
| Moreton Capital Markets LLC |
Benjamin Byington Larry Lundberg Ryan Stoker *Mark Stoker |
| Oppenheimer & Co. Inc. | Brian J Delany |
| Morgan Stanley & Co LLC |
Russell Kwok *Tamara Djurdjevic |
| RBC Capital Markets LLC |
Eric Ajlouny William L Burton Scott Chappell John Hallgren Quinn Jensen Michael Roskopf Paul Schulte |
| Raymond James & Associates Inc. | Mark K McKinnon |
| *Santander US Capital Markets LLC | *Peter Bjorsten |
| Stifel Nicolaus & Co Inc |
Dewey Anderson Irving Vincent Boberski III John Crandall |
| TD Securities (USA) LLC |
*Kelly Dirgins *Patrick Doodian *Alexander Kuhtik |
| Wells Fargo Securities LLC |
Scott Andrews Michael Deep Daniel DiCamillo Evan Faucher Brandon Hodge Travis McLaughlin Gregory McMahon Jonathan Stutts David Vlacich |
| Zions Bank Capital Markets |
Jacqueline Davies Douglas Gray Bryce Hackworth Vincenzo Iannucci Jared Jess Brad Mayeda Daniel Ricks Ty Roberts Jocelyn Sudweeks Christopher Van Dam *Joseph C. Summerhays |
| Zions Direct Inc |
Jacqueline Davies Douglas Gray Bryce Hackworth Vincenzo Iannucci Jared Jess Brad Mayeda Daniel Ricks Ty Roberts Jocelyn Sudweeks Christopher Van Dam *Joseph C. Summerhays |
*New as of this list.