0000724683-20-000094.txt : 20201209 0000724683-20-000094.hdr.sgml : 20201209 20201208181300 ACCESSION NUMBER: 0000724683-20-000094 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 HOLMES,RALPH,JASON, 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: 201376365 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 Ralph Jason Holmes 3025535 N 1 0000724683 PIPER JAFFRAY & CO. 08-25-2017 N 867-01178 LOCATED 08-25-2017 50 CALIFORNIA ST 31ST FLOOR SAN FRANCISCO CA 94111 08-2017 PIPER JAFFRAY & CO. SAN FRANCISCO CA 94111 Y Y MD, PUBLIC FINANCE 04-2014 08-2017 STIFEL, NICOLAUS & COMPANY, INC SAN FRANCISCO CA 94104 Y Y MANAGING DIRECTOR 04-2006 04-2014 E.J. DE LA ROSA & CO., INC. SAN FRANCISCO CA 94104 N Y PRINCIPAL Y 06-2005 RENTAL PROPERTY 367 39TH ST OAKLAND CA 94108 N N RENTAL PROPERTY OWNER 0 PROPERTY OWNER 04-2015 RENTAL PROPERTY 2928 TELEGRAPH AVE OAKLAND CA 94563 N N RENTAL PROPERTY OWNER 0 PROPERTY OWNER 11-2017 The Unity Council 1900 Fruitvale Ave #2a Oakdale CA 94601 N N Housing Organizaton - Finance Committee board member 6 board member 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 Y N N Y N N N N N N N N 12-08-2020 Gregory S. Byer Chief Compliance Officer RALPH JASON HOLMES 3025535 1595978 6I(1)(b) 6I(2)(c) RALPH JASON HOLMES 3025535 1602142 6I(1)(b) 6I(2)(c)