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CITY OF SANTA ANA <br />,_ FINANCE & MANAGEMENT SERVICES AGENCY <br />BROKER -DEALER QUESTIONNAIRE AND CERTIFICATION <br />1. Name of Firm: <br />2. Address: (Local) <br />(Headquarters) _ <br />3. Telephone No. (Toll Free) <br />(Direct #) _ <br />4. Primary Representative <br />Name <br />Title <br />Telephone No. <br />Fax No. <br />Manager / Partner -in -Charge <br />Name <br />Title <br />Telephone No. <br />Fax No. <br />Email Email <br />No. of Years in Institutional Sales: No. of Years in Institutional Sales: <br />SEC Licenses: SEC Licenses: <br />5. Are you a Primary Dealer in U.S. Government Securities? ............................................( ) Yes ( ) No <br />6. Are you a Regional Dealer in U.S. Government Securities? ..........................................( ) Yes ( ) No <br />7. Are you a Broker - i.e., You DO NOT own positions of securities? .................................( ) Yes ( ) No <br />8. Are you NASD certified and licensed to sell to California municipalities? ......................( ) Yes ( ) No <br />9. What is the net capitalization of your firm? <br />10. What is the date of your firm's fiscal year end? <br />11. Is your firm owned by a holding company? If so, what is the name and net capitalization of the holding firm? <br />12. Please provide your normal custody and delivery process: <br />City of Santa - Annual Page M July 1.2023 - <br />Statement of Investment Policy tune 30, 2024 <br />City Council 44 — 70 6/6/2023 <br />