July 1, 2024 With Changes as of 8/21/24
TO: PUBLIC TREASURERS
SUBJECT: CERTIFIED DEALERS
Following is the list of CERTIFIED DEALERS for the quarter beginning Julyl 1, 2024 through September 30, 2024. THIS LIST SUPERSEDES THE LIST DATED April 1, 2024.
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, 2024. Agent and Firm Deletions: ASL Capital Markets and all agents; Barclays Capital Inc and all agents; Cantor Fitzgerald and all agents; InsperX and all agents; StoneX Financial and all agents; RBC Capital Markets has deleted Thomas C Kelly; Stifel Nicolar has deleted Jon Walker. Additions: Ameriprise Financial Services & 2 agents; Banc of Montreal Chicago Branch & 1 agent; Deutsche Bank Sercurities & 3 agents; Janney Montgomery Scott & 1 agent; Loop Capital Markets & 1 agent; Zions Bank Capital Markets and Zions Direct Inc added 1 new agent.**8/21/24: Morgan Stanly and 1 agent are new on the list.** All new additions are noted on the list below with a "*" notation. 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 LLC | *Bradley T Miller *Bruce Wingrove |
| *Bank of Montreal, Chicago Branch | *Anthony Pham |
| DA Davidson & Co | Marcus Nield |
| Daiwa Capital Markets America | John Lomond Andres Tamayo |
| *Deutsche Bank Securities Inc | *Jennifer Gray *Michael Fisher *Paul Miller |
| *Janney Montgomery Scott LLC | *Brian J Delany |
| *Loop Capital Markets | *William H Money III |
| Moreton Capital Markets, LLC | Benjamin Byington Larry Lundberg Cory McKendrick Ryan Stoker |
| *Morgan Stanley & Co. LLC | *Russell Kwok | Raymond James and Associates, Inc. | Amy Iannella Mark McKinnon |
| RBC Capital Markets, LLC |
Eric Ajlouny |
| Stifel Nicolaus & Co Inc | Dewey Anderson Irving Vincent Boberski III John Crandall |
| Wells Fargo Securities, LLC. | Scott Andrews Michael Deep Evan Faucher Brandon Hodge Gregory McMahon Jonatha Stutts Sarah Taylor David Vlacich |
| Zions Bank Capital Markets | Jacqueline Davies Jared Jess Brad Mayeda Daniel Ricks Ty Roberts Jocelyn Sudweeks *Christopher VanDam |
| Zions Direct, Inc. | Jacqueline Davies Jared Jess Brad Mayeda Daniel Ricks Ty Roberts Jocelyn Sudweeks *Christopher Van Dam |
*New as of this list.