July 1, 2020
TO: PUBLIC TREASURERS
SUBJECT: CERTIFIED DEALERS
Following is the list of CERTIFIED DEALERS for the quarter beginning July 1, 2020 through September 31, 2020. THIS LIST SUPERSEDES THE LIST DATED April 1, 2020.
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, 2020. Deletions: Numerous agents have been deleted as this is annual renewal time, please check to verify your agent is still on the list. The following are firms that were deleted: Ameriprise Financial and agents are deleted; Brean Capital and all agents are deleted; LPL Financial and all agents are deleted; UBS Financial and all agents are deleted.. Additions: RBC Capital Markets has added Stephen Manning; TD Securities and all agents are new; Incapital has added William Money and Traci Salinas. 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. | William Pilsbury Brock Griffin Shawn Oxenham |
| DA Davidson & Co. | Marcus Nield |
|
Incapital LLC |
Vicki Meyer |
| Moreton Capital Markets, LLC | Benjamin Byington Larry Lundberg Ryan Stoker |
| Raymond James and Associates, Inc. | Amy Iannella Mark McKinnon |
| RBC Capital Markets, LLC |
Eric Ajlouny |
| Robert W Baird & Co., Inc. | Zachary Harris Wesley M. Sullivan Scott C. Ulbrich |
| Stifel Nicolaus & Co Inc | Steve Strong Susan Gardner |
| *TD Securities (USA) LLC |
*Shawn Conlin |
| Wells Fargo Securities, LLC. | Scott Andrews Jonathan Cancilla Doug Chin 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 | Blake Bihm Jacqueline Davies Neil Decker Karen Keeley Brad Mayeda Malivanh Majee Wanda Pounders Daniel Ricks Ty Roberts Teresa Yancey |
| Zions Direct, Inc. | Jacqueline Davies Neil Decker Karen Keeley Brad Mayeda Daniel Ricks Ty Roberts |
*New as of this list.