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:
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.