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SAN MARCO <br />City of San Marcos <br />Broker/Dealer Questionnaire & <br />Texas Public Funds Investment Act <br />Certification by Business Organization <br />Firm Name: <br />CRD Number: <br />Local office/address: <br />Attach bio / resume of the primary and secondary representatives <br />Primary Representative: <br />Telephone: <br />Fax: <br />E -Mail: <br />CRD Number: <br />Secondary Representative or sales assistant: <br />Telephone: <br />E -Mail: <br />CRD Number: <br />Branch Manager: <br />Telephone / email: <br />Is firm designated as a primary dealer by the Federal Reserve?* <br />How long has the firm had Primary Dealer status* <br />Is the firm registered with the Texas State Securities Board?* <br />Is the firm and all its representatives registered with the NASD?* <br />List three comparable public clients currently working with this representative. <br />Entity name, contact and phone number. <br />* If the answer to any of these questions is no, please explain each separately. <br />1 <br />City of San Marcos, Warch 2018 <br />