0000724683-14-000117.txt : 20141209 0000724683-14-000117.hdr.sgml : 20141209 20141209112805 ACCESSION NUMBER: 0000724683-14-000117 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: 141274232 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 JONATHAN DOUGLAS RUTH 004664807 N 1 0000724683 PIPER JAFFRAY & CO. 09-17-2007 N 07-09-2014 0000724683 LOCATED SUPERVISED 09-17-2007 1200 17TH STREET SUITE 1250 DENVER CO 80202-5856 09-2007 PIPER JAFFRAY & CO. DENVER CO 80202-5856 Y Y PUBLIC FINANCE INVESTMENT BANKER 03-2005 08-2007 STONE & YOUNGBERG LOS ANGELES CA 94111 Y Y INVESTMENT BANKER 01-2004 02-2005 SELF-EMPLOYED REDONDO BEACH CA 90277 N N CONTRACTOR 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