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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. <br />Address: (Local) <br />(Headquarters) <br />3. <br />Telephone No. (Toll Free) <br />(Direct #) <br />4. <br />Primary Representative Manager / Partner -in -Charge <br />Name Name <br />Title Title <br />Telephone No. Telephone No. <br />Fax No. 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. <br />Are you a Primary Dealer in U.S. Government Securities? ............................................( <br />) Yes ( ) No <br />6. <br />Are you a Regional Dealer in U.S. Government Securities? .......................................... ( <br />) Yes ( )No <br />7. <br />Are you a Broker - i.e., You DO NOT own positions of securities? ................................ ( <br />) Yes ( ) No <br />8. <br />Are you NASD certified and licensed to sell to California municipalities? ...................... ( <br />) Yes ( ) No <br />9. <br />What is the net capitalization of your firm? <br />10. <br />What is the date of your firm's fiscal year end? <br />11. <br />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 Ana Annual July 1, 2019 - <br />Statement of Investment Policy %� 0 June 30, 2020 <br />