Auditor-Controller Treasurer-Tax Collector Department
Investment and Debt Division
Auditor-Controller Treasurer-Tax Collector Department
Only Broker/Dealers that are on the County’s formal approved list may perform securities transactions with the County’s Investment Division.
To be considered as potential counterparty for the County’s securities transactions, Broker/Dealers are required to complete and return the Due Diligence Questionnaire to the County’s Investment Officer. Periodically, the County will review applications provided and select Broker/Dealers based on the information about the Broker/Dealer’s practice, financial, condition, industry reputation and legal/regulatory conditions.
Please conform to all requests for information in the questionnaire; failure to do so may jeopardize the applicant’s chances of approval. Please submit all information electronically. NO PHYSICAL APPLICATIONS WILL BE CONSIDERED.
Some of the information considered includes, but is not limited to:
Acceptance of a Broker/Dealer into the County’s approved list DOES NOT GUARANTEE the Broker/Dealer any business with the County.
David Maurice
Investment and Debt Officer
david.maurice@sonoma-county.org