Certified Investment Adviser List
January 1, 2019 ***Updated 2/21/19****
To: Public Treasurers
Subject: Certified Investment Advisers
Following is the list of Certified Investment Advisers for the quarter beginning January 1, 2019 through March 31, 2019. This list supersedes the list dated October 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 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 October 1, 2018. Name Changes: None.**Changed 2/21/19: Added Gregory Balls with FTN Financial Main Street Advisors, LLC was inadvertently left off the list from Securities Division. Additions: Moreton Asset Management LLC has added Dawn Dachenhausen to the list. None. Deletions: None.
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
Franklin J. Landen
|FTN Financial Main Street Advisors||*Gregory Balls
Richard L. Phillips
|Moreton Asset Management, LLC||*Dawn Dachenhausen
Jordan C. Hansen
Andrew J. Robbins
Ben R. Sehy
Jason M. Williams
|PFM Asset Management||Richard Babbe
|Soltis Investment Advisors, LLC||Thomas Adams
Kim D. Anderson
Tyler J. Finlinson
Lon E Henderson
Benjamin W Justice
Christie N Kompel
Jeffrey M Leavit
Lindsey C Lewis
Brent D Moore
David R Sentman
James G Shumway
Clark V Taylor
William W Wallace
Tyler K Wilkinson
Shawn S Woods
|The Karras Company Inc||Brett N Karras
|Wells Fargo Clearing Services LLC||Dane Bradshaw
Daniel H Payne
|Zions Capital Advisors||Scott R Burnett
John R Byerly Jr
*New as of this list.