Utah State Treasurer
David Damschen

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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.

BROKER AGENTS
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
John Maley
Marcus Nield
George K. Baum & Co. Susan P. Gardner
Stephen L. Strong
Brett C. Turnbull
*Incapital LLC *Dwight C Canfield
*Vicki Meyer
*Joseph D Wieske
LPL Financial LLC Craig P. Adams
Greg Aiken
Stephen Beierlein
David Shipley
Moreton Capital Markets, LLC Benjamin Byington
Jordan Hansen
Larry Lundberg
Andrew Robbins
Benjamin Sehy
Ryan Stoker
Jason Williams
Raymond James and; Associates, Inc. Deborah A. Balestrieri
Randy Church
Amy Iannella
Mark McKinnon
RBC Capital Markets, LLC Eric Ajlouny
Scott Chappell
Walter Hall
*Susan Haas
John Hallgren
John Menefee
Brent Peterson
Michael Roskopf
Sam Vetas
Christina Wright
Robert W Baird & Co., Inc. Cathleen Gillies
Zachary Harris
Wesley M. Sullivan
Scott C. Ulbrich
UBS Financial Services Inc. Barry B. Bowen
John Doke
Michael Meyers
Wells Fargo Securities, LLC. Scott Andrews
William Burton
Jonathan Cancilla
Doug Chin
Bryan Colton
Michael Deep
Thomas Degenaars
Jane Fielding
Even Faucher
Thomas Hedges
Brandon Hodge
Massieh Mojab
Andrew Paul
Daniel F. Quigley
Mark Sagin
Jonathan Stubbs
Sarah Taylor
Tyler Tayrien
Zions Bank Capital Markets Joathan Bacon
Jacqueline Davies
Neil Decker
Wendy Jones
Karen Keeley
Brad Mayeda
Daniel Ricks
Ty Roberts
Kathy Sullivan
Zions Direct, Inc. Jacqueline Davies
Neil Decker
Wendy Jones
Karen Keeley
Brad Mayeda
Daniel Ricks
Ty Roberts
Kathy Sullivan

*New as of this list.