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.

• Thomas Henry Burt

  IRN THB01027

  • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
  • CF23 Corporate Finance Adviser (10 Nov 2006 to 31 Oct 2007)
• Thomas James Rogers

  IRN TJR01109

  • [FCA CF] Client dealing (since 9 Jul 2022)
  • [FCA CF] Manager of certification employee (since 9 Jul 2022)
• Thomas Patrick Schnettler

  IRN TPS01032

  • CF8 Apportionment and Oversight (3 Jul 2002 to 5 May 2005)
  • CF3 Chief Executive (3 Jul 2002 to 5 May 2005)
  • CF1 Director (25 Mar 2002 to 31 Dec 2011)
• Thomas Rex Maguiness

  IRN TXR00281

  • [FCA CF] Client dealing (since 22 Jul 2024)
• Thomas Yardley

  IRN TXY00030

  • [FCA CF] Client dealing (19 Oct 2022 to 30 Apr 2024)
• Timothy Carter

  IRN TXC01658

  • SMF3 Executive Director (9 Dec 2019 to 2 May 2024)
  • CF1 Director (30 Jan 2018 to 8 Dec 2019)
• Timothy James Sambrook

  IRN TJS01052

  • CF30 Customer (24 Jan 2008 to 27 Jun 2008)
• Torben Sommer

  IRN TXS01413

  • CF30 Customer (1 Nov 2007 to 16 Jul 2009)
  • CF21 Investment Adviser (4 Oct 2007 to 31 Oct 2007)
• Torben Vest

  IRN TXV01008

  • CF30 Customer (21 Jan 2010 to 31 Oct 2018)
• Tracey Jane Butcher

  IRN TJW01105

  • CF30 Customer (1 Nov 2007 to 30 Nov 2010)
  • CF21 Investment Adviser (1 Jun 2006 to 31 Oct 2007)

No changes recorded yet.