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.

• Mohammad Sohail Fazeli

  IRN MSF01018

  • CF30 Customer (1 Nov 2007 to 22 Oct 2010)
  • CF21 Investment Adviser (10 Aug 2005 to 31 Oct 2007)
• Mohammed Amer Khan

  IRN MAK01064

  • CF30 Customer (3 Jan 2008 to 2 Jul 2009)
• Muhammed Ali Awan

  IRN MAA01123

  • CF23 Corporate Finance Adviser (4 Apr 2007 to 3 Aug 2007)
• Mukul Bhushan Patil

  IRN MXP00992

  • [FCA CF] Client dealing (since 9 Jun 2025)
• Nabeel Siddiqui

  IRN NXS02186

  • [FCA CF] Client dealing (since 19 Oct 2022)
  • CF30 Customer (1 May 2017 to 8 Dec 2019)
• Naomi Jane Fallows

  IRN NXF00203

  • [FCA CF] Client dealing (since 17 Feb 2025)
• Neil Robert Mackison

  IRN NRM01038

  • SMF1 Chief Executive (9 Dec 2019 to 22 Apr 2022)
  • SMF3 Executive Director (9 Dec 2019 to 22 Apr 2022)
  • CF11 Money Laundering Reporting (21 Feb 2011 to 5 Jul 2017)
  • CF1 Director (21 Feb 2011 to 8 Dec 2019)
  • CF3 Chief Executive (21 Feb 2011 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF23 Corporate Finance Adviser (18 Apr 2006 to 31 Oct 2007)
• Nicholas Carey Roberts Main

  IRN NXM00661

  • [FCA CF] Client dealing (since 9 Jun 2025)
• Nicholas John Dalgarno

  IRN NJD01083

  • SMF3 Executive Director (since 18 Sep 2021)
  • CF30 Customer (1 May 2017 to 8 Dec 2019)
• Nicholas Peter Searle

  IRN NPS01032

  • CF21 Investment Adviser (22 Aug 2005 to 7 Sep 2006)

No changes recorded yet.