Certified Dealer List

October 1, 2021 With changes as of October 21, 2021 



Following is the list of CERTIFIED DEALERS for the quarter beginning October 1, 2021 through December 31, 2021. THIS LIST SUPERSEDES THE LIST DATED July 1, 2021 and includes changes as of the October 21, 2021 Council meeting.

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 July 1, 2021 and updated October 21, 2021 with one deletion. Agent and Firm Deletions:As of October 21, 2021 DA Davidson and all agents are deleted. Additions: RBC Capital Markets has added William L Burton; added as of 8/19/21: BMO Capital Markets Corp is back on the list with three agents. InspereX (fka Incapital LLC) is back on the list with two agents. See List for names.**   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.

Barclays Capital Inc. Peter Bjurstein
BMO Capital Markets Corp Brock Griffin
Shawn Oxenham
William Pilsbury
*InspereX (fka Incapital LLC) *William H Money III
*Traci Salinas
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
*William L Burton
Scott Chappell
John Hallgren
Quinn Jensen
Stephen Manning
John Menefee
Paul Schulte
Michael Roskopf

Robert W Baird & Co Inc Zachary Harris
Wesley M Sullivan
Kathleen Werlein
Stifel Nicolaus & Co Inc John Crandall
Susan Gardner
Wells Fargo Securities, LLC. Jonathan Cancilla
Doug Chin
Thomas Degenaars
Thomas Hedges
Brandon Hodge
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.