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