January 1, 2021
To: Public Treasurers
Subject: Certified Investment Advisers
Following is the list of Certified Investment Advisers for the quarter beginning January 1, 2021 through March 31, 2021. This list supersedes the list dated October 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 agents of dealers (see list), or the Certified Investment Advisers included in this list. Certified Investment Advisers may now use their own list of brokers to purchase investments for public entity accounts. Authorized deposits or investments are generally limited to those securities listed in Section 51-7-11(3).
The following are changes from the list dated October 1, 2020. Name Changes: None. Additions: None. Deletions: None.
All securities purchased through a certified investment adviser are still required to be delivered to the public treasurer or to the treasurer's safekeeping bank.
Advisers included in this list have met the minimum standards established by Utah Administrative Code, Section R628-15. Inclusion in the list of certified investment advisers 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.
| Advisory Firm | Investment Representatives | |
|---|---|---|
| Alliance Bernstein LP | Ward V. Cerny Mary Conroy Edward C O'Conner Jonathan M Fung Robert H Statton Darreld E Turner II Jonathan Underkofler Walker T Williams |
|
| FTN Financial Main Street Advisors | Gregory Balls Richard L. Phillips |
|
| LPL Financial LLC | Brian Urie | |
| Moreton Asset Management, LLC | Dawn Dachenhausen Jordan C. Hansen Andrew J. Robbins Ben R. Sehy Jason M. Williams |
|
| PFM Asset Management | Christopher Blackwood Ellen Clark Marc Mclure |
|
| Raymond James Financial Services Advisors, Inc. | Billy Peterson Shaun Peterson |
|
| Soltis Investment Advisors, LLC | Kim D. Anderson Cabe Atkinson Tyler J Finlinson Benjamin W Justice Christie N Krompel Brent D Moore Clark V Taylor William W Wallace Tyler K Wilkinson Shawn S Woods |
|
| Wells Fargo Clearing Services LLC | Dane Bradshaw Josh Burgon Matthew Hufford Daniel H Payne Timothy Payne Christopher Soutas |
|
| Zions Capital Advisors | Scott R Burnett John R Byerly Jr Peter Kelson |
*New as of this list.