0000724683-20-000089.txt : 20201208 0000724683-20-000089.hdr.sgml : 20201208 20201208175601 ACCESSION NUMBER: 0000724683-20-000089 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 CAVALIER,STEPHEN,ANTHONY, FILED AS OF DATE: 20201208 DATE AS OF CHANGE: 20201208 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PIPER SANDLER & CO. CENTRAL INDEX KEY: 0000724683 IRS NUMBER: 410953246 STATE OF INCORPORATION: DE FISCAL YEAR END: 1200 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04228 FILM NUMBER: 201376290 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 900 CITY: MINNEAPOLIS STATE: MN ZIP: 55402-7020 FORMER COMPANY: FORMER CONFORMED NAME: PIPER JAFFRAY & CO. DATE OF NAME CHANGE: 20200106 FORMER COMPANY: FORMER CONFORMED NAME: PIPER SANDLER & CO. DATE OF NAME CHANGE: 20191225 FORMER COMPANY: FORMER CONFORMED NAME: PIPER JAFFRAY & CO. DATE OF NAME CHANGE: 20040105 MA-I/A 1 primary_doc.xml MA-I/A 0000724683 XXXXXXXX Madeline Grinnell 6123036523 madeline.grinnell@psc.com registration@psc.com N N STEPHEN ANTHONY CAVALIER 1920966 N 1 0000724683 PIPER JAFFRAY & CO. 09-16-2003 N 07-09-2014 0000724683 SUPERVISED 03-01-2013 11635 ROSEWOOD STREET LEAWOOD KS 66211 LOCATED 09-16-2003 800 NICOLLET MALL MINNEAPOLIS MN 55402 09-2003 PIPER JAFFRAY & CO. MINNEAPOLIS MN 55402 Y Y HEAD OF MUNICIPAL UNDERWRITING Y 09-2018 Cavalier Family LLC 100 WEST LIBERTY STREET 10TH FLOOR Reno NV 89501 N N 25% owner owner 0 owner 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 12-08-2020 Gregory S. Byer Chief Compliance Officer