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.

• Katherine Patricia Clune

  IRN KXC00387

  • SMF3 Executive Director (since 21 Mar 2024)
• Keval Narendrakumar Thanki

  IRN KNT00008

  • CF30 Customer (21 Mar 2013 to 26 Sep 2014)
• Keziah Dewar

  IRN KXD01381

  • CF30 Customer (13 Feb 2014 to 8 Dec 2019)
• Kirk Ewan McIntosh

  IRN KXM01285

  • SMF1 Chief Executive (since 21 Apr 2022)
  • SMF3 Executive Director (since 31 Jul 2020)
• Lianne Ross

  IRN LXR01355

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2022)
  • CF30 Customer (1 May 2017 to 8 Dec 2019)
• Lise Tawfiki

  IRN LXT00180

  • [FCA CF] Client dealing (since 13 Jun 2022)
• Marc Simon Ruddle

  IRN MSR01043

  • [FCA CF] Manager of certification employee (since 10 Jan 2024)
  • [FCA CF] Client dealing (since 10 Jan 2024)
  • SMF3 Executive Director (9 Dec 2019 to 9 Jan 2024)
  • CF1 Director (21 Feb 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (21 Feb 2011 to 5 Jul 2017)
  • CF3 Chief Executive (21 Feb 2011 to 4 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 24 Apr 2007)
• Marco Santolo Ferrara

  IRN MXF01195

  • CF21 Investment Adviser (7 Jul 2004 to 3 Apr 2006)
• Mark Charles James Gardner

  IRN MCG01040

  • CF30 Customer (18 Feb 2010 to 30 Nov 2010)
• Martin Francis Brennan

  IRN MFB01054

  • CF30 Customer (15 Jul 2009 to 29 Jun 2012)

No changes recorded yet.