Utah State Treasurer
David Damschen

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Certified Dealer List

July 1, 2019

TO: PUBLIC TREASURERS

SUBJECT: CERTIFIED DEALERS

Following is the list of CERTIFIED DEALERS for the quarter beginning July 1, 2019 through September 30, 2019. THIS LIST SUPERSEDES THE LIST DATED April 1,2019.

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 April 1, 2019. Deletions:  DA Davidson has deleted Janet Ingalls & John Maley; LPL Financial has deleted Greg Aiken, Stephen Beierlein & David Shipley; RBC Capital Markets deleted Christina Wright; Wells Fargo Securities deleted Bryan Colton, Jane Fielding, & Massieh Mojab. Additions:  BMO Capital Markets Corp added two new agents; Incapital LLC added one new agent; RBC Capital added one new agent; Zions Bank Capital Markets added six new agents; Zions Direct added three new agents.  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
Ameriprise Financial Services, Inc. Rex Baxter
Alex Handcock
Darren Handley
Todd Handley
Ronald Mason
Daniel S Nelson
Thomas Nielson
Bruce Wingrove
Barclays Capital Inc. Peter Bjurstein
BMO Capital Markets Corp. William Pilsbury

*Brock Griffin

*Shawn Oxenham

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

*Chad Nicolson
Joseph D Wieske

LPL Financial LLC Craig P. Adams
Moreton Capital Markets, LLC Benjamin Byington
Dawn Dachenhausen
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
Susan Haas
John Hallgren

*Tom Meagher
John Menefee
Brent Peterson
Michael Roskopf
Sam Vetas

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
Even Faucher
Thomas Hedges
Brandon Hodge
Andrew Paul
Daniel F. Quigley
Mark Sagin
Jonathan Stutts
Sarah Taylor
Tyler Tayrien
Zions Bank Capital Markets *Jonathan Bacom

Blake Bihm

Jacqueline Davies
Neil Decker

*Kamron Jensen

*Karen Keeley
Brad Mayeda

*Malivanh Majee

*Wanda Pounders
Daniel Ricks
Ty Roberts
Kathy Sullivan

Zions Direct, Inc. *Jonathan Bacon

Jacqueline Davies
Neil Decker

*Kamron Jensen

*Karen Keeley
Brad Mayeda
Daniel Ricks
Ty Roberts
Kathy Sullivan

*New as of this list.