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.
|Ameriprise Financial Services, Inc.||Rex Baxter
Daniel S Nelson
|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
|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||*Jonathan Bacom
|Zions Direct, Inc.||*Jonathan Bacon
*New as of this list.