Certified Dealer List
October 1, 2018
TO: PUBLIC TREASURERS
SUBJECT: CERTIFIED DEALERS
Following is the list of CERTIFIED DEALERS for the quarter beginning October 1, 2018 through December 31, 2018. THIS LIST SUPERSEDES THE LIST DATED July 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 July 1, 2018. Deletions: RBC Capital has deleted Ronald N Mason. Additions: Brean Capital LLC has added William H Money III; Incapital LLC is back on the list with three new agents; RBC Capital added Susan Haas on 5/17/18, she was left off the July 1 list that was e-mailed to public treasurers. 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
*William H Money III
|DA Davidson & Co.||Janet Ingalls
|George K. Baum & Co.||Susan P. Gardner
Stephen L. Strong
Brett C. Turnbull
|*Incapital LLC||*Dwight C Canfield
*Joseph D Wieske
|LPL Financial LLC||Craig P. Adams
|Moreton Capital Markets, LLC||Benjamin Byington
|Raymond James and; Associates, Inc.||Deborah A. Balestrieri
|RBC Capital Markets, LLC||Eric Ajlouny
|Robert W Baird & Co., Inc.||Cathleen Gillies
Wesley M. Sullivan
Scott C. Ulbrich
|UBS Financial Services Inc.||Barry B. Bowen
|Wells Fargo Securities, LLC.||Scott Andrews
Daniel F. Quigley
|Zions Bank Capital Markets||Joathan Bacon
|Zions Direct, Inc.||Jacqueline Davies
*New as of this list.