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Broker/Dealer Information

This page is intended for Brokers and Dealers interested in doing business with Sonoma County's Investment Division.

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:

  • Relevant experience of the proposed individual representatives to service the County
  • Legal and regulatory issues
  • Financial condition of the firm
  • Type and amount of inventory
  • Experience with other municipal, particularly California, clients
  • Totality of all services provided

Acceptance of a Broker/Dealer into the County’s approved list DOES NOT GUARANTEE the Broker/Dealer any business with the County.


Due Diligence Questionnaire


David Maurice
Investment and Debt Officer