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.

• Paul Alexander Stephen Lewington

  IRN PAL01091

  • CF30 Customer (14 Sep 2009 to 22 Apr 2012)
• Paul Leece

  IRN PBL01013

  • [FCA CF] Client dealing (since 6 Jan 2025)
  • [FCA CF] Manager of certification employee (since 6 Jan 2025)
• Paul Peter Karos

  IRN PPK01006

  • CF8 Apportionment and Oversight (1 Dec 2001 to 8 Jul 2002)
  • CF3 Chief Executive (1 Dec 2001 to 8 Jul 2002)
  • CF1 Director (1 Dec 2001 to 8 Jul 2002)
• Paul Trueman Dwyer

  IRN PTD01024

  • CF30 Customer (15 Oct 2008 to 28 Aug 2009)
• Paulina Grace Breloh

  IRN PXB00565

  • [FCA CF] Client dealing (since 30 Aug 2024)
• Per Henrik Colding Mortensen

  IRN PHM01030

  • CF30 Customer (13 Jul 2010 to 4 Feb 2011)
• Peter Eunchul Shin

  IRN PES01097

  • CF30 Customer (27 Mar 2012 to 26 Jun 2014)
• Peter Fitzroy McLennan

  IRN PFM01046

  • CF30 Customer (1 Nov 2007 to 18 Feb 2010)
  • CF21 Investment Adviser (16 Mar 2007 to 31 Oct 2007)
• Peter Hall

  IRN PXH01256

  • [FCA CF] Functions requiring qualifications (6 Apr 2020 to 4 Apr 2025)
• Peter John Malovany

  IRN PJM01558

  • [FCA CF] Client dealing (since 4 Nov 2024)

No changes recorded yet.