0000724683-20-000096.txt : 20201209
0000724683-20-000096.hdr.sgml : 20201209
20201209094807
ACCESSION NUMBER: 0000724683-20-000096
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
MCCARTHY,JAMES,L,
FILED AS OF DATE: 20201208
DATE AS OF CHANGE: 20201209
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: 201377108
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
JAMES
L
MCCARTHY
2507604
N
1
0000724683
PIPER JAFFRAY & CO.
02-10-2011
N
07-09-2014
0000724683
LOCATED
SUPERVISED
02-10-2011
503 MARTINDALE ST.
7TH FLOOR
PITTSBURGH
PA
15212
CHIP
L
MCCARTHY
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
Y
05-2019
Wisconsin Women in Public Finance
N/A
Milwakee
WI
53201
N
Y
Women's Public Finance Association
Board member/director
2
Board member/director
06-2013
Franciscan Villa
3601 S Chicago Ave
South Milwaukee
WI
53172
N
N
Senior Living Community
Board member/ director
3
board member/ director
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