PIPER SANDLER LTD.

Date authorised
1 April 2013
Companies House
03846990
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Ross Alistair Dobbie

    IRN RAD01167

    • CF30 Customer (9 Mar 2018 to 28 Sep 2018)
  • Ross Andrew Atkinson

    IRN RAA01108

    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 May 2017 to 8 Dec 2019)
  • Ross Andrew Gordon McLellan

    IRN RAM01236

    • CF30 Customer (1 May 2017 to 8 May 2017)
  • Rupert Anthony Winckler

    IRN RAW01150

    • CF30 Customer (1 Nov 2007 to 12 Apr 2016)
    • CF23 Corporate Finance Adviser (19 Apr 2006 to 31 Oct 2007)
  • Rupert Edward White

    IRN REW01041

    • CF30 Customer (1 Nov 2007 to 30 Nov 2010)
    • CF21 Investment Adviser (30 May 2006 to 31 Oct 2007)
  • Ryan Donald Cummings

    IRN RXC00690

    • [FCA CF] Client dealing (27 Jun 2024 to 31 Dec 2025)
  • Ryan John Busuttil-Goodfellow

    IRN RJB01611

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (5 Feb 2018 to 8 Dec 2019)
  • Sally Bennett

    IRN SXB01362

    • CF21 Investment Adviser (12 May 2006 to 20 Apr 2007)
  • Sami Kooheji

    IRN SXK00298

    • [FCA CF] Client dealing (since 4 Sep 2023)
  • Sandra Gay Sponem

    IRN SGS01042

    • CF13 Finance (1 Dec 2001 to 5 Apr 2004)
    • CF2 Non Executive Director (1 Dec 2001 to 5 Apr 2004)
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Recent activity

Updates to this firm's record on the FCA register.

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