Utah State Treasurer
David Damschen


Certified Dealer List

January 1, 2018



Following is the list of CERTIFIED DEALERS for the quarter beginning January 1, 2018 through March 31, 2018. THIS LIST SUPERSEDES THE LIST DATED October 1, 2017.

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, 2017. Deletions: None.  Additions:  Morgan Stanley had added Justin C. Baker & Earnest A. Marchosky; Robert W Baird & Co has added Zachary Harris and Wesley M. Sullivan.*** 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. William Pilsbury
Cantor Fitzgerald & Co Traci Salinas
DA Davidson & Co. Hank Jenkins
Janet Ingalls
John Maley
Marcus Nield
George K. Baum & Co. Susan P. Gardner
Joseph C. Higginbottom
Stephen L. Strong
Brett C. Turnbull
Incapital LLC William H. Money III
Jeffries & Co LLC Andrew Davidoff
LPL Financial LLC Craig P. Adams
Greg Aiken
Stephen Beierlein
David Shipley
Morgan Stanley Cody Adams
Paul Barton
*Justin C. Baker
Deidre M. Cortney
Johnthomas Cumbow
Douglas Felt
Phil Fonfara
*Earnest A. Marchosky
John R. Ott
Brian Parcell
Angela L. Pizzichini
Joseph A Ranucci
Michael Ruzek
Michael Wallblom
Moreton Capital Markets, LLC Benjamin Byington
Jordan Hansen
Sabrina Rodrigues-Harte
Larry Lundberg
Andrew Robbins
Benjamin Sehy
Ryan Stoker
Jason Williams
Multi-bank Securities Inc. John Pedersen
Raymond James and; Associates, Inc. Deborah A. Balestrieri
Randy Church
Amy Iannella
Mark McKinnon
RBC Capital Markets, LLC Eric Ajlouny
Scott Chappell
Walter Hall
John Hallgren
Stephen Manning
Ronald N. Mason
Brent Peterson
John Styrbicki
Sam Vetas
Michael Zetahmeyer
Robert W Baird & Co., Inc. Dean R Cottle
Cathleen Gillies
*Zachary Harris
*Wesley M. Sullivan
UBS Financial Services Inc. Barry B. Bowen
John Doke
Jim Madden
Nat Mosley
Wells Fargo Securities, LLC. William Burton
Doug Chin
Bryan Colton
Thomas Degenaars
Jane Fielding
Thomas Hedges
Larry Horning
Brandon Hodge
Michael Kronbetter
Massieh Mojab
Andrew Paul
Daniel F. Quigley
Mark Sagin
Sarah Taylor
Tyler Tayrien
Zions Bank Capital Markets Jacqueline Davies
Neil Decker
Wendy Jones
Brad Mayeda
Daniel Ricks
Ty Roberts
Kathy Sullivan
Zions Direct, Inc. Jacqueline Davies
Neil Decker
Wendy Jones
Brad Mayeda
Daniel Ricks
Ty Roberts
Kathy Sullivan

*New as of this list.