Chief Compliance Officer

0000724683-17-000040.txt : 20170331 0000724683-17-000040.hdr.sgml : 20170331 20170331182633 ACCESSION NUMBER: 0000724683-17-000040 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170331 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-A SEC ACT: 1934 Act SEC FILE NUMBER: 867-01178 FILM NUMBER: 17731756 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-A 1 primary_doc.xml MA-A 0000724683 XXXXXXXX Meghan G. Anderson 612-303-5696 Meghan.G.Anderson@pjc.com Registration@pjc.com Gregory.S.Byer@pjc.com 12-31-2016 Y PIPER JAFFRAY & CO. 000000665 41-0953246 866-00024-00 867-01178-00 008-15204 000000665 801-108049 000000665 ALL 50 US STATES; PR U.S. COMMODITY FUTURES TRADING COMMISSION NFA 0001427 800 NICOLLET MALL SUITE 1000 MINNEAPOLIS MN 55402-7020 612-303-6000 612-303-6295 Amend 1420 FIFTH AVE SUITE 1425 SEATTLE WA 98101 206-628-2882 206-343-2103 Add 2321 ROSECRANS AVE SUITE 3200 EL SEGUNDO CA 90245 310-406-1940 Add 11635 ROSEWOOD STREET LEAWOOD KS 66211 913-345-3300 913-345-3393 Amend 1200 17TH STREET SUITE 1250 DENVER CO 80202 303-820-5865 303-820-5891 Add 1300 SW FIFTH AVE. SUITE 3650 PORTLAND OR 97201 503-275-8300 503-275-8312 N 800 NICOLLET MALL SUITE 1000 MINNEAPOLIS MN 55402-7020 http://www.piperjaffray.com GREGORY SCOTT BYER Chief Compliance Officer

800 Nicollet Mall Suite 1000 Minneapolis MN 55402-7020

612-303-6429 612-303-6295 Gregory.S.Byer@pjc.com ANNCHARLOTTE NMN MCCAGUE PRINCIPAL/ ASSOCIATE COMPLIANCE DIRECTOR

800 NICOLLET MALL SUITE 1000 MINNEAPOLIS MN 55402-7020

612-303-6359 612-303-6295 Ann.C.McCague@pjc.com PIPER JAFFRAY INVESTMENT MANAGEMENT LLC Y U.S. SECURITIES AND EXCHANGE COMMISSION 801-68637 PJC CAPITAL PARTNERS LLC Y U.S. SECURITIES AND EXCHANGE COMMISSION 801-77373 PIPER JAFFRAY LTD. Y FINANCIAL CONDUCT AUTHORITY (FCA) FCA Reference No. 191657 X0 ADVISORY RESEARCH INC Y U.S. SECURITIES AND EXCHANGE COMMISSION 801-14172 PIPER JAFFRAY VENTURES INC. Y STATE OF DELAWARE 2004658 DE PIPER JAFFRAY HONG KONG LIMITED Y Securities and Futures Commission BFG356 K3 SIMMONS & COMPANY INTERNATIONAL LIMITED Y FINANCIAL CONDUCT AUTHORITY (FCA) FCA Reference No. 190057 X0 December DE 07-28-1969 N 766 117 115 1 0 180 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Guaranteed IC Advice Use Of MD Advice On Selection Brokerage Of MEI Y Y Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company Investment Adviser Commodity pool operator Sponsor or syndicator of limited partnerships 15 Delete Broker-dealer municipal securities dealer or government securities broker or dealer DUFF, ANDREW SCOTT ANDREW DUFF Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer ABRAHAM, CHAD RICHARD CHAD ABRAHAM Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor FAIRMAN IV, FRANCIS EVARTS FRANK FAIRMAN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer GEELAN JR., JOHN WILLIAM JOHN GEELAN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer KLINEFELTER, JEFFREY PAUL JEFF KLINEFELTER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer LARUE, ROBERT SCOTT SCOTT LARUE Y Y Y Securities and Futures Commission AUW237 K3 Delete Broker-dealer municipal securities dealer or government securities broker or dealer MCCAGUE, ANNCHARLOTTE NMN ANN MCCAGUE Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer SCHONEMAN, DEBBRA LYNN DEB SCHONEMAN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WINGES, MARTIN BRADLEY BRAD WINGES Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor ADLER, MARK JEROME MARK ADLER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor ARMAGNO JR, MICHAEL A MIKE ARMAGNO Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor AVEY, DUSTIN JAY DUSTIN AVEY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BARATTA, JEFFREY ALLEN JEFF BARATTA Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BESSETTE, CHRISTOPHER PAUL CHRIS BESSETTE Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BOCK, MICHELLE MARIE MICHELLE BOCK Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BOEHM, BARRETT LANDON LANDON BOEHM Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BRADFORD, DANIELLE NICOLE DANIELLE BRADFORD Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BRASHER, KELLY PAIGE KELLY BRASHER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BRODY, JOANNA LYNN JOANNA BRODY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CALABRO JR, RICHARD NICHOLAS RICHARD CALABRO Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CALDWELL, CHRISTOPHER WOLFE KIT CALDWELL Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CARLSON, TREVOR LOUIS TREVOR CARLSON Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CARTY, TIMOTHY PATRICK TIMOTHY CARTY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CAVALIER, STEPHEN ANTHONY STEVE CAVALIER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CHANEY, JOYCE ELAINE JOYCE CHANEY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor COAN, JOHN BARTHOLOMEW JOHN COAN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor COLEMAN, CHRISTOPHER MICHAEL CHRIS COLEMAN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor COURTNEY, MATTHEW THOMAS MATTHEW COURTNEY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor DAVIS, WILLIAM COLEMAN BILL DAVIS Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor DILLINGHAM, JACK CLIFTON JACK DILLINGHAM Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor DONEFF, DARCI LEE DARCI DONEFF Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor EDWARDS, KIMBERLY KAYE KIM EDWARDS Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Commodity trading advisor Other municipal advisor FLANNERY, CHRISTOPHER JOHN CHRIS FANNERY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor FOLSOM JR, JAMES ELISHA JAMES FOLSOM Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor FREDERICK SR, WILLIAM RANDALL WILLIAM FREDERICK Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor FREDERICKSON, MICHAEL ALDEN MIKE FREDERICKSON Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor GERBER, JEREMY JOSEPH JEREMY GERBER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor GILLASPIE, MATTHEW ROGER MATTHEW GILLASPIE Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor GILLIAM, CURTIS MCCOWN CURT GILLIAM Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor GOFFOY, ARMAN TODD TODD GOFFOY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HAGEN, NICHOLAS PATRICK NICK HAGEN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HEINEN, NEIL AUGUST NEIL HEINEN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HENDERSON, WILLIAM PAUL BILL HENDERSON Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HENNINGSGARD, JOHN DAVID JOHN HENNINGSGARD Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HERINGER, ERIC ADRIAN ERIC HERINGER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HEROUX, P JONATHAN JONATHAN HEROUX Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HROMATKA, JAY FRANCIS JAY HROMATKA Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KEITH, MICHAEL LEROY MICHAEL KEITH Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KELLEY, TIMOTHY HALLMAN TIM KELLEY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KILEY, DAVID EMMETT DAVID KILEY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KIM, JIN YOUNG JIN KIM Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KLEVEN, KEITH PETER KEITH KLEVEN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KLINGES JR, DAVID HENRY DAVID KLINGES Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KOLP, DEBORAH LEE DEBBIE KOLP Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KOSTER, KATHERINE ANN KATIE KOSTER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Commodity trading advisor Other municipal advisor LAFLEUR, THOMAS MARK TOM LAFLEUR Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LANEY, JANET SUE JANET LANEY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LANGNER, BRADLEY GORDON BRADLEY LANGNER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LE, HY QUANG HY LE Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LEE, DANIEL J DANIEL LEE Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LEE, MARK JAMES MARK LEE Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LEHMAN, JAMES DALE DALE LEHMAN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LEHMAN, JAMES PAUL PAUL LEHMAN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LI, IVORY R. IVORY LI Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LIEN, MELANIE KAY MELANIE LIEN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LUNDE, ERIC ROBERT ERIC LUNDE Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MACMILLAN, LAUREN MARIE LAUREN MACMILLAN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MCCARTHY, JAMES L CHIP MCCARTHY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MCCARTHY, ROMY LEIGH ROMY MCCARTHY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MCCOY, JONATHAN BLAINE JONATHAN MCCOY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Commodity trading advisor Other municipal advisor MCGUFFEE II, JERE SHEFFIELD JERE MCGUFFEE Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MCGUIRE, DENNIS JAMES DENNIS MCGUIRE Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MCQUERRY, KRISTEN CIARA KRISTEN MCQUERRY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MILLER, JOHN VONIER JOHN MILLER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MOLONEY, MICHAEL WHIT WHIT MOLONEY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MONWAI, JUSTIN WEN JUSTIN MONWAI Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MORENO, RENE ANTONIO RENE MORENO Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MORGAN, KEITH JOSEPH KEITH MORGAN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor NASSIF, JOSEPH ELIAN JOSEPH NASSIF Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor NELSON, DEREK LELAND DEREK NELSON Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor NIGGEL, JOSEPH ANDREW JOE NIGGEL Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor OSWALD, TIMOTHY JOHN TIM OSWALD Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PAAUWE, DIANE LYNN DIANE PAAUWE Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PELLICCI, JOHN FERRO JOHN PELLICCI Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PETERSON, JOHN DAVID JOHN PETERSON Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PHILLIPPI, PETER JON PETER PHILLIPPI Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PISCATELLI, MARK STEPHEN MARK PISCATELLI Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PRCELA, MICHAEL FRANCIS MICHAEL PRCELA Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PREZIOSO, MARIE LAVINIA MARIE PREZIOSO Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PROESCHEL, STEVEN JOHN STEVE PROESCHEL Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor RAPISTA, ANTHONY LASERNA TONY RAPISTA Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor RATTNER, YAFFA TZIPORAH YAFFA RATTNER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor REYES, RUSSELL CARCALLAS RUSS REYES Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor RIVARD, BRENT MATTHEW BRENT RIVARD Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor RUTH, JONATHAN DOUGLAS JONATHAN RUTH Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SAMUELS, CAROL ELTING CAROL SAMUELS Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SCHOBER JR, RICHARD ARNOLD DICK SCHOBER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SCHULZ, EUGENE RICHARD GENE SCHULZ Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SHELBY, CHRISTOPHER MILO CHRISTOPHER SHELBY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SHELLEY, ROBERT EUGENE ROBERT SHELLEY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SHEMS, NESSY NESSY SHEMS Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SILVER, MARC GLENN MARC SILVER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SMITH, MICHAEL CHARLES MICHAEL SMITH Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SMITH, WENDY ANN WENDY SMITH Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SORENSEN, BRUCE ELLIOTT BRUCE SORENSEN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SOVDE, LINDSAY ANNE LINDSAY SOVDE Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SPENGLER, JOHN EDWARD BRIGHAM JEB SPENGLER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SQUIRES, TRAVIS RAY TRAVIS SQUIRES Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor STEFAN, RYAN CHRISTOPHER RYAN STEFAN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SWANSON, RYAN LEWIS RYAN SWANSON Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SWARTZ, GREGORY GELON GREG SWARTZ Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor THOMPSON, SHANNON BUCKLEY SHANNON THOMPSON Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor VAHRENBERG, GREGORY MICHAEL GREG VAHRENBERG Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor VANDEVENTER, TODD CHARLES TODD VANDEVENTER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WADE, JENNIFER LYNN JENNIFER WADE Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WALL, EDMUND JOSEPH ED WALL Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WATKINS, BRENDAN PATRICK BRENDAN WATKINS Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WEAVER, MATTHEW WILLIAM MATT WEAVER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WERNER, GEORGE CLAYTON GEORGE WERNER Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WHITSON, THOMAS WAYNE TOM WHITSON Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WILSON, JENNIFER LYNNE JENNIFER WILSON Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WIRT, BRADLEY DEAN BRAD WIRT Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WOODARD, STEPHEN WALLACE STEVE WOODARD Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WRIGHT JR, TRENNIS LEE TRENNIS WRIGHT Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor ZAPPALA, ALEXIS PAMELA ALEXIS ZAPPALA Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer PATRICK CHARLES GRAY PAT GRAY Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LOHR, RICHARD W. RICHARD LOHR Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor GUOBADIA, OGIEVA OGIEVA GUOBADIA Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WILDMAN, WILLIAM WILLIAM WILDMAN Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor RIEBELING, MICHAEL MICHAEL RIEBELING Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor ROWAN, JUSTIN TAYLOR Justin Rowan Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WIMMER, DAVID FLOYD David Wimmer Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor COMBS, RYAN RICHARDSON Ryan Combs Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor RAGAN, MARC TIMOTHY Marc Ragan Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LY, JONATHAN CHY-KHEANG Jonathan Ly Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LEWIS, WALTER DEWAYNE Walter Lewis Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor NOCERINO, JOSEPH SALVATORE Joe Nocerino Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor FISH, SARAH JENE Sarah Fish Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BERLINGER, STACEY LEE Stacey Berlinger Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor FIVECOAT, JEFFREY CAMPBELL Jeffrey Fivecoat Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KIEFER, ZACHARY R Zachary Kiefer Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LAWRENCE, REBECCA SHEERIN Rebecca Lawrence Y Y N NewAdd Investment Adviser Commodity pool operator Sponsor or syndicator of limited partnerships ADVISORY RESEARCH INC ADVISORY RESEARCH INC N Y N NewAdd Investment Adviser Commodity pool operator Sponsor or syndicator of limited partnerships PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC N Y N NewAdd Broker-dealer municipal securities dealer or government securities broker or dealer PIPER JAFFRAY LTD. PIPER JAFFRAY LTD. N Y Y Financial Conduct Authority 191657 X0 NewAdd Broker-dealer municipal securities dealer or government securities broker or dealer SIMMONS & COMPANY INTERNATIONAL LIMITED SIMMONS & COMPANY INTERNATIONAL LIMITED N Y Y Financial Conduct Authority 190057 X0 NewAdd Investment Adviser Sponsor or syndicator of limited partnerships PJC CAPITAL PARTNERS LLC PJC CAPITAL PARTNERS LLC N Y N NewAdd Investment Company Advisory Research Small Company Opportunities Fund Advisory Research Small Company Opportunities Fund N Y N NewAdd Investment Company Advisory Research All Cap Value Fund Advisory Research All Cap Value Fund N Y N NewAdd Investment Company Advisory Research Strategic Income Fund Advisory Research Strategic Income Fund N Y N NewAdd Investment Company Advisory Research International Small Cap Value Fund Advisory Research International Small Cap Value Fund N Y N NewAdd Investment Company Advisory Research International All Cap Value Fund Advisory Research International All Cap Value Fund N Y N NewAdd Investment Company Advisory Research Global Value Fund Advisory Research Global Value Fund N Y N NewAdd Investment Company Advisory Research Emerging Markets Opportunities Fund Advisory Research Emerging Markets Opportunities Fund N Y N NewAdd Investment Company Advisory Research MLP & Equity Fund Advisory Research MLP & Equity Fund N Y N NewAdd Investment Company Advisory Research MLP & Energy Income Fund Advisory Research MLP & Energy Income Fund N Y N NewAdd Investment Company Advisory Research MLP and Energy Infrastructure Fund Advisory Research MLP and Energy Infrastructure Fund N Y N N N N N N N N N N N N N N PIPER JAFFRAY COMPANIES 0001230245 Schedule A N N N N N Y N Y Y N Y N Y N Y Y N Y N N Y Y N N N Y PIPER JAFFRAY COMPANIES Y 30-0168701 PARENT COMPANY 04-28-2003 E Y ANDREW SCOTT DUFF CHAIRMAN, CEO; BOARD MEMBER 12-19-2003 NA Y 000719526 DEBBRA LYNN SCHONEMAN CHIEF FINANCIAL OFFICER 05-16-2008 NA Y 001980635 FRANCIS EVARTS IV FAIRMAN HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER 07-01-2005 NA Y 001171131 ANNCHARLOTTE NMN MCCAGUE CHIEF COMPLIANCE OFFICER 12-01-2005 NA Y 001108448 MARTIN BRADLEY WINGES HEAD OF FIXED INCOME SERVICES; BOARD MEMBER 01-01-2009 NA Y 001929509 CHAD RICHARD ABRAHAM CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER 10-15-2010 NA Y 002190836 ROBERT SCOTT LARUE CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER 10-15-2010 NA Y 003185126 JEFFREY PAUL KLINEFELTER HEAD OF EQUITIES; BOARD MEMBER 07-01-2012 NA Y 002961501 JOHN WILLIAM JR GEELAN CHIEF LEGAL OFFICER 01-01-2013 NA Y 004905460 Add PIPER JAFFRAY COMPANIES Y 30-0168701 PARENT COMPANY 04-28-2003 E Y Amend ANDREW SCOTT DUFF CHAIRMAN, CEO; BOARD MEMBER 12-19-2003 NA Y 000719526 Add DEBBRA LYNN SCHONEMAN CHIEF FINANCIAL OFFICER 05-16-2008 NA Y 001980635 Add FRANCIS EVARTS IV FAIRMAN HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER 07-01-2005 NA Y 001171131 Amend ANNCHARLOTTE NMN MCCAGUE GLOBAL CHIEF COMPLIANCE OFFICER 12-01-2005 NA Y 001108448 Add MARTIN BRADLEY WINGES HEAD OF FIXED INCOME SERVICES; BOARD MEMBER 01-01-2009 NA Y 001929509 Add CHAD RICHARD ABRAHAM CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER 10-15-2010 NA Y 002190836 Add ROBERT SCOTT LARUE CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER 10-15-2010 NA Y 003185126 Add JEFFREY PAUL KLINEFELTER HEAD OF EQUITIES; BOARD MEMBER 07-01-2012 NA Y 002961501 Add JOHN WILLIAM JR GEELAN CHIEF LEGAL OFFICER 01-01-2013 NA Y 004905460 Add STUART CHARLES HARVEY PRESIDENT AND COO 02-01-2017 NA Y 002387228 Add TIMOTHY LEE CARTER HD FIN RISK MGMT & TREASURER; BOARD MEMBER 06-01-2015 NA Y 002676342 9-E2 PIPER JAFFRAY & CO. 000000665 113448 9-E2 PIPER JAFFRAY & CO. 000000665 113449 9-E2 PIPER JAFFRAY & CO 000000665 113450 9-D2 PIPER JAFFRAY & CO. 000000665 113452 9-E2 PIPER JAFFRAY & CO. 000000665 113453 9-E2 PIPER JAFFRAY & CO. 000000665 113454 9-E2 PIPER JAFFRAY & CO. 000000665 113455 9-E2 PIPER JAFFRAY & CO. 000000665 142257 9-D2 9-D4 PIPER JAFFRAY & CO. 000000665 150226 9-E2 PIPER JAFFRAY & CO. 000000665 203527 9-E2 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9-E2 PIPER JAFFRAY & CO. 000000665 1407155 9-E2 PIPER JAFFRAY & CO. 000000665 1415861 9-E2 PIPER JAFFRAY & CO. 000000665 1421600 9-E2 PIPER JAFFRAY & CO. 000000665 1453851 9-E2 PIPER JAFFRAY & CO. 000000665 1510662 9-E2 PIPER JAFFRAY & CO. 000000665 1585031 9-D2 9-D4 PIPER JAFFRAY & CO. 000000665 1600562 9-E2 PIPER JAFFRAY & CO. 000000665 1606521 9-D2 PIPER JAFFRAY & CO. 000000665 1613739 9-C2 9-C4 9-C5 PIPER JAFFRAY & CO. 000000665 1680368 9-E2 PIPER JAFFRAY & CO. 000000665 1695188 9-E2 PIPER JAFFRAY & CO. 000000665 1703260 9-E2 PIPER JAFFRAY & CO. 000000665 113451 9-E2 PIPER JAFFRAY & CO. 000000665 1743605 9-E2 PIPER JAFFFRAY & CO. 000000665 1787334 9-E2 PIPER JAFFRAY & CO. 000000665 1890142 9-H1a 9-H1b PIPER JAFFRAY & CO. 000000665 1134448 Gregory S. Byer Gregory S. Byer Chief Compliance Officer of Municipal Advisor 03-31-2017 002306758 N N N N N Y Y Y N N N N Y N N N N Y N N