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.

• Varun Verma

  IRN VXV01059

  • CF30 Customer (14 Feb 2011 to 19 Oct 2012)
• Vernon Golding

  IRN VGG01001

  • CF30 Customer (8 Sep 2014 to 30 Mar 2016)
• Vijay Prakash Barathan

  IRN VPB01013

  • CF30 Customer (17 Jan 2008 to 10 Aug 2009)
• Vikramjeet Singh Chopra

  IRN VSC01006

  • CF30 Customer (1 Dec 2009 to 28 Apr 2011)
• Vincenzo Di Nicola

  IRN VXD01151

  • [FCA CF] Client dealing (5 May 2022 to 20 Sep 2024)
  • [FCA CF] Manager of certification employee (5 May 2022 to 20 Sep 2024)
• William Brian Cunningham

  IRN WXC00066

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Functions requiring qualifications (since 12 May 2021)
• William Harries

  IRN WXH00110

  • [FCA CF] Client dealing (19 Oct 2022 to 2 Jan 2023)
• William Michael Douglas Carnwath

  IRN WMC01022

  • CF30 Customer (1 Nov 2007 to 13 Nov 2009)
  • CF21 Investment Adviser (9 Sep 2005 to 31 Oct 2007)
• Wladimir Charvat

  IRN WXC01113

  • CF30 Customer (22 Feb 2010 to 12 Nov 2010)
• Xavier Moreels

  IRN XXM01009

  • CF21 Investment Adviser (10 Nov 2006 to 3 Aug 2007)

No changes recorded yet.