JANUARY 1, 2024
TO: PUBLIC TREASURERS
SUBJECT: CERTIFIED DEALERS
Following is the list of CERTIFIED DEALERS for the quarter beginning January 1, 2024 through March 31, 2024. THIS LIST SUPERSEDES THE LIST DATED October 1, 2023.
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, 2023. Agent and Firm Deletions: KeyBanc and all agents are deleted. . Additions: Daiwa Capital Markets America and two agents are new on the list; Stifel, Nicolaus & Co. Inc., has added one new agents. . All new additions are noted on the list below with a "*" notation. 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 | |
---|---|---|
ASL Capital Markets Inc. | Jim Levenson Michael Weir |
|
Barclays Capital Inc. | Peter Bjurstein | |
Cantor Fitzgerald & Co | Ron Jacoby | |
DA Davidson & Co | Marcus Nield | |
*Daiwa Capital Markets America | *John Lomond *Andres Tamays |
|
InspereX | William H Money III | |
Moreton Capital Markets, LLC | Benjamin Byington Larry Lundberg Cory McKendrick Ryan Stoker |
|
Raymond James and Associates, Inc. | Amy Iannella Mark McKinnon |
|
RBC Capital Markets, LLC |
Eric Ajlouny |
|
Stifel Nicolaus & Co Inc | Dewey Anderson *Irving Vincent Boberski III John Crandall Jon Walker |
|
StoneX Financial | Andrew Kaplan Alexandra Selbuy |
Wells Fargo Securities, LLC. | Scott Andrews Michael Deep Evan Faucher Brandon Hodge Gregory McMahon Jonatha Stutts Sarah Taylor David Vlacich |
Zions Bank Capital Markets | Jacqueline Davies Jared Jess Brad Mayeda Daniel Ricks Ty Roberts Jocelyn Sudweeks |
|
Zions Direct, Inc. | Jacqueline Davies Jared Jess Brad Mayeda Daniel Ricks Ty Roberts Jocelyn Sudweeks |
*New as of this list.