0000724683-14-000125.txt : 20141209 0000724683-14-000125.hdr.sgml : 20141209 20141209120256 ACCESSION NUMBER: 0000724683-14-000125 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: 141274391 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 MICHAEL CHARLES SMITH 003223455 N 1 0000724683 PIPER JAFFRAY & CO. 02-07-2011 N 07-09-2014 0000724683 LOCATED 02-07-2011 503 MARTINDALE ST. 7TH FLOOR PITTSBURGH PA 15212 SUPERVISED 02-07-2011 800 NICOLLET MALL MINNEAPOLIS MN 55402 02-2011 PIPER JAFFRAY & CO. PITTSBURGH PA 15212 Y Y PUBLIC FINANCE INVESTMENT BANKER 11-2004 02-2011 NORTHEAST SECURITIES, INC. MITCHEL FIELD NY 11553 N Y INVESTMENT BANKER 04-2000 11-2004 HEFREN-TILLOTSON, INC. PITTSBURGH PA 15212 N Y INVESTMENT BANKER 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