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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 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.

• 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.

• Bijan Mahmood

  IRN BXM00238

  • [FCA CF] Functions requiring qualifications (12 Jul 2021 to 6 Aug 2021)
• Blake Johnson Omlie

  IRN BJO01010

  • CF21 Investment Adviser (1 Dec 2001 to 14 Jul 2005)
  • CF1 Director (1 Dec 2001 to 5 Aug 2003)
• Brent Robbins

  IRN BXR01436

  • SMF3 Executive Director (since 18 Dec 2023)
  • [FCA CF] Client dealing (18 Sep 2023 to 17 Dec 2023)
  • [FCA CF] Manager of certification employee (18 Sep 2023 to 17 Dec 2023)
• Brian Adam Strauss

  IRN BXS00516

  • [FCA CF] Client dealing (since 6 Sep 2024)
• Bruno Hertig

  IRN BXH01216

  • CF30 Customer (17 Jun 2011 to 30 Jun 2018)
• Carmen Gammie

  IRN CXG00456

  • [FCA CF] Client dealing (since 31 Jul 2023)
• Catherine Mary Patricia O'Connell

  IRN CMO01025

  • CF30 Customer (12 Jan 2009 to 19 Mar 2009)
• Celine Marie Anthoine

  IRN CMA01035

  • [FCA CF] Client dealing (since 8 Jan 2024)
• Chad Richard Abraham

  IRN CRA01061

  • CF1 Director (28 Mar 2012 to 19 Jan 2018)
• Charles Douglas Lilford

  IRN CXL01294

  • CF30 Customer (2 Jul 2009 to 23 Sep 2011)

No changes recorded yet.