|
STIFEL
<br />viii. Significant Engagements
<br />nu If I„i„t I I .r. I.,,t 7rI t , rJ,r. ,,, [r,, ,.. ti,v. ,.;. 1111, It I ... , .i is ...,... ,
<br />Please refer to Appendix D.
<br />ix. Conflicts of Interest
<br />A s,, „ it t 3 t t , t r m t, r v, I I t xw a, , a, I I If If , ,...
<br />There are no conflicts or perceivable conflicts of interest with the City. To the best of our knowledge, Stifel has no such
<br />arrangements material to our services and performance related to this agreement.
<br />x. Affirmative Statement Verifying California Registration
<br />A ,,, r, „, wr If' 11 J, 2,II,, i,,,,,t, Y ,I ,.Iat, I f I I f..
<br />The firm and all assigned key professional staff are properly licensed to practice in California.
<br />A. Errors and Omissions Insurance
<br />Av , I- i,n,i:a,. I , I ,It,n 1, ,i f" 11 It 1)"II, I , , [,a t .p ,rn.., i If ,:u, tit.. ,t1, [r! . 1.1, 1 t
<br />The firm maintains E&O insurance that is applicable to the work requested in this RFP.
<br />xii. Acknowledgement of Contractual Authorization
<br />A., t , . ,I Id „ v
<br />Both or life proposed project managers, John Kim and Torn Jacob, are authorized to cunitaclually bind the firm.
<br />AnIf t t. . ,t , I t If i If i., I , I f I ti I f r ,., v , I , yI v , M , If d,,,
<br />Stifel, Nicolaus & Company, Incorporated ("Stifel") is an investment banking and securities firm providing investment
<br />servicesto individuals and institutional clients, investment banking, and related services including the day-to-day purchase
<br />and sale of securities. Stifel is a wholly -owned subsidiary of Stifel financial Corp. (Sr). In the normal course of business, at
<br />any Riven time, Stifel is subject to a number of claims and disputes, as well as regulatory matters including examinations,
<br />reviews, investigations, or formal actions. All required disclosures of material litigation and regulatory matters are made
<br />in Stifel Financial Corp.'s public filings with the SEC and other regulatory authorities, such as its Form 10-K and the most
<br />recent Form 10 Wiled with the U.S. Securities and Exchange Commission (the "SEC"), 8 K's, and in other regulatory filings,
<br />such as Form B/D, as amended. You are further referred to the FINRA website, where you can access Broker Check reports
<br />for Stifel, Nicolaus & Company, Incorporated which may be located with the following hyperlink:
<br />http://brokercheck.tirira.org/Firm/Summary/793.
<br />4f, rr ,iri rr ri J I; ,.! r,,rt o r,oL f It [if r;r r,vr:..
<br />i. Assigned Personnel Experience
<br />]r _ , t,o l ;.r` a. , c11 If I t, I, It, , „ra q .. m .I „n t v ..?.f", If , in m!fl fv rte, ., ,>o V Ityf' f t.l_Fl. IB „ _.Ilf ,I I I<! .,. etl ,e v.f t„
<br />As previously rneriboned, Stifel is the leading underwriter of California pension financings. Below we list Sufel's California
<br />pension experience over the last 36 months as well as those transactions scheduled to come to market in the first half of
<br />2021, highlighting in blue those transactions staffed by our project managers.
<br />City Council
<br />23 - 207 5/18/2021
<br />Ciry of Santa Ana I Proposal to Provide underwriting Services Page 5
<br />
|