Certified Dealer List
April 1, 2018 *******Additions as of April 19, 2018 & Additions & Deletions as of 5/17/18**********
TO: PUBLIC TREASURERS
SUBJECT: CERTIFIED DEALERS
Following is the list of CERTIFIED DEALERS for the quarter beginning April 1, 2018 through June 30, 2018. THIS LIST SUPERSEDES THE LIST DATED January 1, 2018.
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 January 1, 2018. Deletions: None. Additions: Raymond James has added Billy Peterson & Shaun Peterson; RBC Capital Markets has added Christina Wright; and Wells Fargo Securities has added Jonathan Cancilla. As of April 19, 2018, Robert W. Baird & Co. Inc., has added Scott C. Ulbrich.*** As of 5/17/18: Cantor Fitzgerald and all agents are deleted. Brean Capital, LLC and one new agent has been added. RBC Capital Markets, LLC has added Susan Haas. 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|
|*Brean Capital,LLC||*Traci Salinas|
|DA Davidson & Co.||Hank Jenkins
|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
|Morgan Stanley||Cody Adams
*Justin C. Baker
Deidre M. Cortney
*Earnest A. Marchosky
John R. Ott
Angela L. Pizzichini
Joseph A Ranucci
|Moreton Capital Markets, LLC||Benjamin Byington
|Multi-Bank Securities Inc.||John Pedersen|
|Raymond James and; Associates, Inc.||Deborah A. Balestrieri
|RBC Capital Markets, LLC||Eric Ajlouny
Ronald N. Mason
|Robert W Baird & Co., Inc.||Dean R Cottle
*Wesley M. Sullivan
*Scott C. Ulbrich
|UBS Financial Services Inc.||Barry B. Bowen
|Wells Fargo Securities, LLC.||William Burton
Daniel F. Quigley
|Zions Bank Capital Markets||Jacqueline Davies
|Zions Direct, Inc.||Jacqueline Davies
*New as of this list.