0000724683-23-000024.txt : 20231010 0000724683-23-000024.hdr.sgml : 20231010 20231010133651 ACCESSION NUMBER: 0000724683-23-000024 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 MA-I INDIVIDUAL: DODD,NICHOLAS,JAMES, FILED AS OF DATE: 20231010 DATE AS OF CHANGE: 20231010 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PIPER SANDLER & CO. CENTRAL INDEX KEY: 0000724683 IRS NUMBER: 410953246 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04228 FILM NUMBER: 231317287 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 Shelby O'Keefe 612-303-7092 shelby.okeefe@psc.com registration@psc.com N 0000724683-20-000056 Y NICHOLAS JAMES DODD 4313726 N 1 0000724683 PIPER JAFFRAY & CO. 06-07-2018 N 867-01178 LOCATED 06-07-2018 2525 EAST CAMELBACK ROAD SUITE 950 PHOENIX AZ 85016 06-2018 PIPER JAFFRAY & CO. PHOENIX AZ 85016 Y Y MANAGING DIRECTOR, MUNICIPAL FINANCE 03-2008 06-2018 RBC CAPITAL MARKETS, LLC PHOENIX AZ 85016 Y Y MUNICIPAL FINANCE DIRECTOR Y 06-2018 Pi Kappa Alpha Endowment Fund 8347 West Range Cove Memphis TN 38125 N Y Non profit Board Member 4 We manage the endowment and investments for the Pi Kappa Alpha Foundation 06-2018 Casa de Abuelita 290 S Gibson Street Gilbert AZ 85296 N N Member of LLC Board Member 0 Member 06-2018 Chandler Education Foundation 1525 W Frye Road Chandler AZ 85224 N N Non-profit Board member and treasurer 12 I am Treasurer of the Board and Chair of the Finance Committee. 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 10-10-2023 Gregory S. Byer Chief Compliance Officer