January 1, 2020** updated 2/27/20
TO: PUBLIC TREASURERS
SUBJECT: CERTIFIED DEALERS
Following is the list of CERTIFIED DEALERS for the quarter beginning January 1, 2020 through March 31, 2020. THIS LIST SUPERSEDES THE LIST DATED October 1,2019.
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 October 1, 2019 updated 32/27/20. Deletions: George K. Baum & Co. and all agents are deleted. Additions: Stiefel, Nicolaus & Co., Inc has added one agent, Susan Gardner.As of 2/27/20, Moreton Capital Markets LLC has deleted Dawn Dachenhausen, Jordan Jansen, Andrew Robbings, Benjamin Sehy and Jason Williams. 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 |
|---|---|
| Ameriprise Financial Services, Inc. | Rex Baxter Alex Handcock Darren Handley Todd Handley Ronald Mason Daniel S Nelson Thomas Nielson Bruce Wingrove |
| Barclays Capital Inc. | Peter Bjurstein |
| BMO Capital Markets Corp. | William Pilsbury Brock Griffin Shawn Oxenham |
| Brean Capital,LLC | Traci Salinas William H Money III |
| DA Davidson & Co. | Marcus Nield |
| Incapital LLC | Dwight C Canfield Vicki Meyer Chad Nicolson Joseph D Wieske |
| LPL Financial LLC | Craig P. Adams |
| Moreton Capital Markets, LLC | Benjamin Byington Larry Lundberg Ryan Stoker |
| Raymond James and Associates, Inc. | Deborah A. Balestrieri Randy Church Amy Iannella Mark McKinnon |
| RBC Capital Markets, LLC | Eric Ajlouny Scott Chappell Susan Haas John Hallgren Tom Meagher John Menefee Brent Peterson Michael Roskopf Sam Vetas |
| Robert W Baird & Co., Inc. | Cathleen Gillies Zachary Harris Wesley M. Sullivan Scott C. Ulbrich |
| Stifel Nicolaus & Co Inc | Steve Strong *Susan Gardner |
| UBS Financial Services Inc. | Barry B Bowen John Doke Michael Meyers |
| Wells Fargo Securities, LLC. | Scott Andrews William Burton Jonathan Cancilla Doug Chin Bryan Colton Michael Deep Thomas Degenaars Even Faucher Thomas Hedges Brandon Hodge Andrew Paul Daniel F. Quigley Mark Sagin Jonathan Stutts Sarah Taylor Tyler Tayrien |
| Zions Bank Capital Markets | Jonathan Bacon Blake Bihm Jacqueline Davies Neil Decker Kamron Jensen Karen Keeley Brad Mayeda Malivanh Majee Wanda Pounders Daniel Ricks Ty Roberts Kathy Sullivan *Teresa Yancey |
| Zions Direct, Inc. | Jonathan Bacon Jacqueline Davies Neil Decker Kamron Jensen Karen Keeley Brad Mayeda Daniel Ricks Ty Roberts Kathy Sullivan |
*New as of this list.