0000724683-14-000115.txt : 20141209 0000724683-14-000115.hdr.sgml : 20141209 20141209120943 ACCESSION NUMBER: 0000724683-14-000115 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: 141274419 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 RUSSELL CARCALLAS REYES 002522355 N 1 0000724683 PIPER JAFFRAY & CO. 06-12-2008 N 07-09-2014 0000724683 LOCATED SUPERVISED 06-12-2008 2321 ROSECRANS AVE SUITE 3200 EL SEGUNDO CA 90245 RUSS CARCALLAS REYES 06-2008 PIPER JAFFRAY & CO. EL SEGUNDO CA 90245 Y Y PUBLIC FINANCE INVESTMENT BANKER 08-2006 06-2008 UBS SECURITIES LLC LOS ANGELES CA 90017 Y Y EXECUTIVE DIRECTOR DCM AND STRUCTURED SOLUTIONS 01-2006 08-2006 UBS SECURITIES LLC STAMFORD CT 06901 Y Y DIRECTOR FIXED INCOME MUNI SECURITIES 06-2004 01-2006 UBS FINANCIAL SERVICES INC. LOS ANGELES CA 90017 Y Y OFFICER, INVESTMENT BANKING 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