0000724683-21-000020.txt : 20210414 0000724683-21-000020.hdr.sgml : 20210414 20210414153504 ACCESSION NUMBER: 0000724683-21-000020 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 CALDWELL,SAMUEL,T, FILED AS OF DATE: 20210414 DATE AS OF CHANGE: 20210414 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: 21825590 BUSINESS ADDRESS: STREET 1: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402-7020 BUSINESS PHONE: 612-303-6843 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 SAMUEL T CALDWELL 6395476 N 1 0000724683 PIPER JAFFRAY & CO. 04-09-2018 N 867-01178 LOCATED 04-09-2018 TWO LOGAN SQUARE 100 N 18TH STREET SUITE 1820 PHILADELPHIA PA 19103 04-2018 PIPER JAFFRAY & CO PHILADELPHIA PA 19103 Y Y PUBLIC FINANCE ANALYST 07-2016 04-2018 PUBLIC FINANCIAL MANAGEMENT, INC. MINNEAPOLIS MN 55402 Y Y PUBLIC FINANCE ANALYST 08-2015 08-2016 GARRARD COUNTY LANCASTER KY 40444 N N INTERN 08-2014 08-2015 RAYMOND JAMES FINANCIAL LEXINGTON KY 40507 Y Y INTERN 08-2012 12-2014 CENTRE COLLEGE DANVILLE KY 40422 N N WORK STUDY 08-2011 08-2012 DOW CORNING CARROLLTON KY 41008 N N CO OP STUDENT 08-2000 05-2012 CARROLL COUNTY K-12 CARROLLTON KY 41008 N N STUDENT 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 N 04-14-2021 GREGORY S. BYER CHIEF COMPLIANCE OFFICER