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.

• James David Fehrenbach

  IRN JDF01108

  • CF1 Director (23 Sep 2009 to 22 Apr 2010)
• James Oliver Steel

  IRN JOS01006

  • CF30 Customer (1 Nov 2007 to 14 Sep 2009)
  • CF21 Investment Adviser (12 Jan 2002 to 31 Oct 2007)
• James Philip Baker

  IRN JXB77013

  • SMF3 Executive Director (since 16 Jul 2020)
• James Robert Kanellitsas

  IRN JRK01038

  • CF1 Director (1 Dec 2001 to 3 Aug 2005)
• Jamie John Adams

  IRN JJA01011

  • CF30 Customer (1 Nov 2007 to 30 Nov 2010)
  • CF21 Investment Adviser (23 Aug 2005 to 31 Oct 2007)
• Jason Andrew Smith

  IRN JAS01286

  • [FCA CF] Client dealing (since 1 Jan 2021)
  • CF30 Customer (1 May 2017 to 8 Dec 2019)
• Jason Christopher Isaac

  IRN JXI00074

  • [FCA CF] Client dealing (since 4 Apr 2024)
• Jason Michael Arnold

  IRN JXA12628

  • [FCA CF] Client dealing (since 23 Feb 2026)
• Jeffrey Neal Joseph Corray

  IRN JNC01032

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (22 May 2017 to 8 Dec 2019)
• Jeffrey Paul Klinefelter

  IRN JPK01082

  • CF1 Director (11 Apr 2013 to 19 Jun 2017)

No changes recorded yet.