Utah State Treasurer
David Damschen

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Certified Investment Adviser List

July 1, 2019

To: Public Treasurers

Subject: Certified Investment Advisers

Following is the list of Certified Investment Advisers 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 agents of dealers (see list), or the Certified Investment Advisers included in this list. Certified Investment Advisers may now use their own list of brokers to purchase investments for public entity accounts. Authorized deposits or investments are generally limited to those securities listed in Section 51-7-11(3).

The following are changes from the list dated April 1, 2019. Name Changes: None. Additions: Alliance Berstein LP has added six new agents; LPL Financial is new on this list (added in May) with one agent; PFM Assest Management has added one new agent; Raymond James and two advisors are new on this list (added in May). Deletions: Alliance Bernstein LP has deleted Franklin Laden; PFM Asset Management deleted Richard Babbe; Soltis Investment Advisors deleted Lon Henderson, Lindsey Lewis and David Sentman.

All securities purchased through a certified investment adviser are still required to be delivered to the public treasurer or to the treasurer’s safekeeping bank.

Advisers included in this list have met the minimum standards established by Utah Administrative Code, Section R628-15. Inclusion in the list of certified investment advisers 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.

Advisory Firm Investment Representatives
Alliance Bernstein LP Joseph E. Brienza
Ward V. Cerny
*Mary Conroy
*Edward C O’Conner
*Michael Stone
*Darreld E Turner II
*Jonathan Underkofler
*Walker T Williams
FTN Financial Main Street Advisors Gregory Balls
Richard L. Phillips
*LPL Financial LLC *Brian Urie
Moreton Asset Management, LLC Dawn Dachenhausen
Jordan C. Hansen
Andrew J. Robbins
Ben R. Sehy
Jason M. Williams
PFM Asset Management Christopher Blackwood
*Lauren L Brant
Ellen Clark
Marc Mclure
Andrea Vlad
*Raymond James Financial Services Advisors, Inc. *Billy Peterson
*Shaun Peterson
Soltis Investment Advisors, LLC Thomas Adams
Kim D. Anderson
Cabe Atkinson
Tyler J. Finlinson
Benjamin W Justice
Christie N Kompel
Jeffrey M Leavit
Brent D Moore
James G Shumway
Clark V Taylor
William W Wallace
Tyler K Wilkinson
Shawn S Woods
The Karras Company Inc Brett N Karras
William Merrell
Wells Fargo Clearing Services LLC Dane Bradshaw
Josh Burgon
Matthew Hufford
Daniel H Payne
Timothy Payne
Christopher Soutas
Zions Capital Advisors Scott R Burnett
John R Byerly Jr
Peter Kelson
Maryam Nanjee
 

*New as of this list.