San Bernardino County Auditor-Controller/ Treasurer/ Tax Collector

Treasurer - Brokers / Dealers RFI Process

Only broker/dealers that are on the County's formal approved broker/dealer list may transact securities with the County Treasurer's Office.

The County Treasurer's Office uses a competitive process to select new broker/dealers. Periodically, the Treasurer’s Office conducts a Request for Information (RFI) process in which broker/dealers are required to provide information on their practice, financial condition and other factors. This process ensures an open, competitive process for all interested prospective brokers to compete for placement on the County's approved list. Some of the factors that are considered when selecting new broker/dealers include:

  • Relevant experience of individual representatives to serve the County's account
  • Legal and regulator issues
  • Financial condition of firm
  • Types and amount of inventory of products provided
  • Scope of ancillary services provided including economic analysis, Internet service, etc.
  • Experience with other municipal/governmental clients

For firms interested in working with the County Treasurer’s Office in the future, please complete the Broker/Dealer Application.

For questions or further information about this process, Please contact Parth Bhatt, Investment officer at (909) 382-3033 or Robin Dixon, Assistant Investment Officer at (909) 382-3030.

Submit/Upload Completed Application and Documents

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