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