January 1, 2025
TO: PUBLIC TREASURERS
SUBJECT: CERTIFIED DEALERS
Following is the list of CERTIFIED DEALERS for the quarter beginning January 1, 2025 through March 31, 2025. THIS LIST SUPERSEDES THE LIST DATED October 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 October 1, 2024. Agent and Firm Deletions: None. Additions: None.** 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 |
| Raymond James and Associates, Inc | Amy Iannella Mark McKinnon |
Morgan Stanley & Co. LLC | Russell Kwok | RBC Capital Markets, LLC |
Eric Ajlouny |
Stifel Nicolaus & Co Inc | Dewey Anderson Irving Vincent Boberski III John Crandall |
| TD Securities (USA) LLC | Charles Del Grosso Michael Kahn |
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.