January 1, 2023
TO: PUBLIC TREASURERS
SUBJECT: CERTIFIED DEALERS
Following is the list of CERTIFIED DEALERS for the quarter beginning January 1, 2023 through March 31, 2023. THIS LIST SUPERSEDES THE LIST DATED October 1, 2022.
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, 2022. Agent and Firm Deletions: : As of 10/20/22 Zions Bank Capital Markets & Zions Direct Inc deleted Neil Decker.** Additions: Wells Fargo Securities added 5 new agents in October, this list was updated to add them, they are: Scott Andrews; Evan Faucher; Gregory McMahon; Daniel Quigley; and David Valacich, check the list below for agents. 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 | |||
| DA Davidson & Co | Marcus Nield | |||
| InspereX | William H Money III Traci Salinas |
Moreton Capital Markets, LLC | Benjamin Byington Larry Lundberg Cory McKendrick Ryan Stoker |
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| Raymond James and Associates, Inc. | Amy Iannella Mark McKinnon |
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| RBC Capital Markets, LLC |
Eric Ajlouny | |||
| Stifel Nicolaus & Co Inc | Dewey Anderson John Crandall Jon Walker |
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| Wells Fargo Securities, LLC. | *Scott Andrews Jonathan Cancilla Thomas Degenaars *Evan Faucher Brandon Hodge *Gregory McMahon *Daniel F Quigley Sarah Taylor Tyler Tayrien *David Vlacich |
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| Zions Bank Capital Markets | Jacqueline Davies Brad Mayeda Daniel Ricks Ty Roberts |
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| Zions Direct, Inc. | Jacqueline Davies Brad Mayeda Daniel Ricks Ty Roberts |
*New as of this list.