Chief Compliance Officer

0000724683-21-000017.txt : 20210319 0000724683-21-000017.hdr.sgml : 20210319 20210319072426 ACCESSION NUMBER: 0000724683-21-000017 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210317 DATE AS OF CHANGE: 20210319 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-A SEC ACT: 1934 Act SEC FILE NUMBER: 867-01178 FILM NUMBER: 21756505 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-A 1 primary_doc.xml MA-A 0000724683 XXXXXXXX Madeline Grinnell 6123036523 madeline.grinnell@psc.com registration@psc.com gregory.byer@psc.com 12-31-2020 Y PIPER SANDLER & CO. 665 41-0953246 866-00024-00 867-01178-00 008-15204 665 801-108049 665 ALL 50 US STATES; PR U.S. COMMODITY FUTURES TRADING COMMISSION NFA 0001427 800 NICOLLET MALL SUITE 900 MINNEAPOLIS MN 55402-7020 612-303-6000 612-303-6295 Add 2525 EAST CAMELBACK ROAD SUITE 950 PHOENIX AZ 85016 602-912-5100 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 Add 1200 17TH STREET SUITE 1250 DENVER CO 80202 303-820-5865 303-820-5891 Add 444 W LAKE ST SUITE 3300 CHICAGO IL 60606 312-920-3230 N http://www.pipersandler.com GREGORY SCOTT BYER Chief Compliance Officer

800 Nicollet Mall Suite 900 Minneapolis MN 55402-7020

612-303-6429 612-303-6295 Gregory.Byer@psc.com ANNCHARLOTTE NMN MCCAGUE MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER

800 NICOLLET MALL SUITE 900 MINNEAPOLIS MN 55402-7020

612-303-6359 612-303-6295 Ann.McCague@psc.com PIPER JAFFRAY INVESTMENT MANAGEMENT LLC Y U.S. SECURITIES AND EXCHANGE COMMISSION 801-68637 PSC CAPITAL PARTNERS LLC Y U.S. SECURITIES AND EXCHANGE COMMISSION 801-77373 PIPER SANDLER LTD. Y FINANCIAL CONDUCT AUTHORITY (FCA) FCA Reference No. 191657 X0 PIPER SANDLER HONG KONG LTD. Y Securities and Futures Commission BFG356 K3 PIPER JAFFRAY FINANCIAL LLC N PIPER SANDLER FINANCE LLC N PIPER SANDLER ADVISORS, LLC Y U.S. SECURITIES AND EXCHANGE COMMISSION 801-64043 December DE 07-28-1969 N 1153 101 101 2 0 300 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 Adviser Sponsor or syndicator of limited partnerships 4 Add Investment Adviser Sponsor or syndicator of limited partnerships PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer PIPER SANDLER LTD. PIPER SANDLER LTD. N Y Y Financial Conduct Authority 191657 X0 Add Investment Adviser Sponsor or syndicator of limited partnerships PSC CAPITAL PARTNERS LLC PSC CAPITAL PARTNERS LLC N Y N Delete Investment Company Advisory Research MLP & Energy Income Fund Advisory Research MLP & Energy Income Fund N Y N Add Investment Adviser PIPER SANDLER ADVISORS, LLC PIPER SANDLER ADVISORS, LLC N Y N N N N N N N N N N N N N N PIPER SANDLER 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 SANDLER COMPANIES Y 30-0168701 PARENT COMPANY 04-28-2003 E Y DEBBRA LYNN SCHONEMAN PRESIDENT; BOARD MEMBER 01-01-2018 NA Y 1980635 FRANCIS EVARTS IV FAIRMAN HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER 07-01-2005 NA Y 1171131 ANNCHARLOTTE NMN MCCAGUE GLOBAL CHIEF COMPLIANCE OFFICER 12-01-2005 NA Y 1108448 CHAD RICHARD ABRAHAM CEO; BOARD MEMBER, CHAIRMAN 01-01-2018 NA Y 2190836 ROBERT SCOTT LARUE HEAD OF INVESTMENT BANKING; BOARD MEMBER 10-15-2010 NA Y 3185126 JOHN WILLIAM JR GEELAN CHIEF LEGAL OFFICER 01-01-2013 NA Y 4905460 TIMOTHY LEE CARTER SR VP FINANCE & TREASURER; BOARD MEMBER 06-12-2017 NA Y 2676342 MICHAEL EDWARD COX CO-HEAD OF EQUITIES; BOARD MEMBER 02-23-2018 NA Y 4248868 PIPER SANDLER COMPANIES Y 30-0168701 PARENT COMPANY 04-28-2003 E Y DEBBRA LYNN SCHONEMAN PRESIDENT; BOARD MEMBER 01-01-2018 NA Y 1980635 FRANCIS EVARTS IV FAIRMAN HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER 07-01-2005 NA Y 1171131 ANNCHARLOTTE NMN MCCAGUE GLOBAL CHIEF COMPLIANCE OFFICER 12-01-2005 NA Y 1108448 CHAD RICHARD ABRAHAM CEO; BOARD MEMBER, CHAIRMAN 01-01-2018 NA Y 2190836 ROBERT SCOTT LARUE HEAD OF INVESTMENT BANKING; BOARD MEMBER 10-15-2010 NA Y 3185126 JOHN WILLIAM JR GEELAN CHIEF LEGAL OFFICER 01-01-2013 NA Y 4905460 TIMOTHY LEE CARTER SR VP FINANCE & TREASURER; BOARD MEMBER 06-12-2017 NA Y 2676342 MICHAEL EDWARD COX CO-HEAD OF EQUITIES; BOARD MEMBER 02-23-2018 NA Y 4248868 9-E2 PIPER JAFFRAY & CO. 665 113448 9-E2 PIPER JAFFRAY & CO. 665 113449 9-E2 PIPER JAFFRAY & CO 665 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9-E2 PIPER JAFFRAY & CO. 665 1695188 9-E2 PIPER JAFFRAY & CO. 665 1703260 9-E2 PIPER JAFFRAY & CO. 665 113451 9-E2 PIPER JAFFRAY & CO. 665 1743605 9-E2 PIPER JAFFFRAY & CO. 665 1787334 9-E2 PIPER JAFFRAY & CO. 665 1890142 9-H1a 9-H1b PIPER JAFFRAY & CO. 665 1134448 Gregory S. Byer Gregory S. Byer Chief Compliance Officer 03-17-2021 665 N N N N N Y Y Y N N N N Y N N N N Y N N N