Broker-Dealer Financial Services

The Orange County Fire Authority (OCFA) is issuing a Request for Qualifications (RFQual) to create or refresh a three‑year Approved List of Qualified Broker/Dealer firms that will execute securities trades for OCFA’s investment portfolio. Firms must demonstrate regulatory compliance, financial stability, and relevant institutional trading experience, and must submit a completed Broker‑Dealer Questionnaire (Attachment 1) and an Acknowledgement of Compliance Standards (Attachment 3) via the PlanetBids portal. The solicitation does not specify a contract value; selection is based on qualifications, certifications, and past performance with public‑sector clients. • Required qualifications include SEC Rule 15C3‑1 net‑capital compliance, FINRA certification, a California branch office, ≥3 years in business, and audited financial statements. • Submissions are electronic only, due by September 10, 2026 11:00 AM PT; questions must be submitted by September 1, 2026 5:00 PM PT. • The awarded firms will be placed on a three‑year Approved List and may be called upon for future trade‑execution work under OCFA’s Investment Policy.