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.

• Harry Ben Williamson

  IRN HXW00081

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2022)
• Harshini Yeduguri Sandinti

  IRN HXS00542

  • [FCA CF] Client dealing (since 24 Feb 2025)
• Ian Andrew George

  IRN IAG01010

  • [FCA CF] Functions requiring qualifications (6 Apr 2020 to 31 Dec 2024)
• Ian Peter Robertson

  IRN IPR01010

  • CF21 Investment Adviser (22 Dec 2006 to 3 Sep 2007)
• Ian Wainwright

  IRN IXW01091

  • CF30 Customer (21 Jan 2010 to 19 Apr 2010)
• Indranil Guha

  IRN IXG00151

  • [FCA CF] Client dealing (since 17 Nov 2025)
• Isaac Bradpiece

  IRN IXB00113

  • [FCA CF] Client dealing (since 30 Mar 2026)
• Jacqueline Yee

  IRN JXY00143

  • [FCA CF] Client dealing (since 15 Dec 2025)
• Jagjit Richard Singh

  IRN JRS01222

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2021)
  • [FCA CF] Manager of certification employee (since 1 Jun 2021)
• James Anthony White

  IRN JAW01294

  • CF30 Customer (25 Feb 2010 to 6 Feb 2019)

No changes recorded yet.