Broker-Dealers

The Treasurer’s Office works with a number of qualified Broker Dealers that facilitate investment transactions. The Office issues a Request for Information (RFI) questionnaire to facilitate annual qualification of each Broker Dealer interested in working with the City’s Investment Portfolio. The Office evaluates interested Broker Dealers based on criteria set by the City Treasurer, including the firm’s prior experience, financial stability, diversity and inclusion, corporate social responsibility and other requirements deemed necessary by the Office and the Municipal Code. The Treasurer’s Office is focused on providing business opportunities to firms based in Illinois and firms owned by minorities, women, veterans, and persons with a disability (MWVD).

Academy Securities, Inc
Alamo Capital
Amherst Pierpont Securities, LLC
Bancroft Capital LLC
Bank of America Merrill Lynch
Blaylock Van, LLC
BMO Harris
Brean Capital, LLC
Cabrera Capital Markets, LLC
CastleOak Securities, LP
CIBC Capital Markets
Citigroup Global Markets, Inc
FHN Financial
Fifth Third Securities, Inc
Goldman Sachs
Great Pacific Securities

Incapital Holdings, LLC
JP Morgan Securities
Loop Capital Markets, LLC
Mischler Financial Group
Northern Trust Securities, Inc
Penserra Securities, LLC
R. Seelaus & Co, Inc
Raymond James Financial, Inc
RBC Capital Markets, LLC
Rice Financial Products Company
Samuel A. Ramirez & Co, Inc
SunTrust Robinson Humphrey
TD Securities, Inc
UBS Financial Services
UnionBanc Investment Services
Wells Fargo Securities, LLC
Williams Capital Group, LP

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