Certified Dealer List

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
*William H Money
*Traci L Salinas
Joseph D Wieske

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
Scott Chappell
John Hallgren
*Stephen Manning
John Menefee
*Paul Schulte
Michael Roskopf

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
*Michael Kahn
*Jake Levine
*Chanel Vicini
*Michael Watt

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.