PIPER SANDLER LTD.

• Principal Place of Business

  6th Floor

  2 Gresham Street

  London

  EC2V 7AD

  UNITED KINGDOM

  Phone

  +4402077968400

  Web

  http://www.pipersandler.com

• Complaints Contact

  Piper Sandler Ltd.

  6th Floor

  2 Gresham Street

  London

  City Of London

  EC2V 7AD

  UNITED KINGDOM

  Phone

  +4402077968400

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• AHMAD EDDY KHALIL

  IRN AXK00374

  • [FCA CF] Client dealing (13 Jun 2022 to 23 Sep 2025)
• Adarsh Ashish Shukla

  IRN AXS05225

  • [FCA CF] Client dealing (27 Jun 2024 to 15 Nov 2024)
• Adeniyi Adeshiyan

  IRN AXA00543

  • SMF16 Compliance Oversight (since 1 Mar 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Mar 2022)
• Adrien Marie Jean Maurice Bommelaer

  IRN AMB01158

  • CF30 Customer (17 Sep 2009 to 30 Nov 2010)
• Ahsan Khan

  IRN AXK00273

  • [FCA CF] Client dealing (since 3 Feb 2025)
• Aimee Leigh Eadie

  IRN ALC01104

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (9 Mar 2018 to 8 Dec 2019)
• Ajay Gupta

  IRN AXG00434

  • [FCA CF] Client dealing (since 18 Jul 2022)
• Alain Rizk

  IRN AXR01503

  • CF30 Customer (4 Feb 2010 to 31 Aug 2010)
• Alan John Dick

  IRN AJD01288

  • CF30 Customer (1 May 2017 to 8 Dec 2019)
• Alan Martin Healy

  IRN AMH01112

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Jan 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.