0000724683-14-000113.txt : 20141209 0000724683-14-000113.hdr.sgml : 20141209 20141209120958 ACCESSION NUMBER: 0000724683-14-000113 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140715 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PIPER JAFFRAY & CO. CENTRAL INDEX KEY: 0000724683 IRS NUMBER: 410953246 STATE OF INCORPORATION: DE FISCAL YEAR END: 1200 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-04228 FILM NUMBER: 141274423 BUSINESS ADDRESS: STREET 1: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402-7020 BUSINESS PHONE: 612-303-6359 MAIL ADDRESS: STREET 1: 800 NICOLLET MALL STREET 2: SUITE 1000 CITY: MINNEAPOLIS STATE: MN ZIP: 55402-7020 FORMER COMPANY: FORMER CONFORMED NAME: U.S. BANCORP PIPER JAFFRAY INC. DATE OF NAME CHANGE: 20020129 FORMER COMPANY: FORMER CONFORMED NAME: U S BANCORP PIPER JAFFRAY INC /BD DATE OF NAME CHANGE: 20020129 FORMER COMPANY: FORMER CONFORMED NAME: US BANCORP PIPER JAFFRAY INC /MN/ /BD DATE OF NAME CHANGE: 20000719 MA-I 1 primary_doc.xml MA-I 0000724683 XXXXXXXX Martha Y. Eichlersmith 6123036013 Martha.Y.Eichlersmith@pjc.com registration@pjc.com N ANTHONY LASERNA RAPISTA 002253627 N 1 0000724683 PIPER JAFFRAY & CO. 06-14-2010 N 07-09-2014 0000724683 LOCATED SUPERVISED 06-14-2010 2321 ROSENRANS AVE SUITE 3200 EL SEGUNDO CA 90245 TONY LASERNA RAPISTA 06-2010 PIPER JAFFRAY & CO. EL SEGUNDO CA 90245 Y Y PUBLIC FINANCE INVESTMENT BANKER 06-2010 06-2010 NEWBURY CAPITAL MANAGEMENT PASADENA CA 91101 N Y INDEPENDENT CONTRACTOR 07-2009 06-2010 UNEMPLOYED REDONDO BEACH CA 90278 N N HOMEMAKER 04-1993 06-2009 M.L. STERN & CO. INC. BEVERLY HILLS CA 90211 N Y PLEASE PROVIDE N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 07-15-2014 Ann C. McCague Chief Compliance Officer