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.

• Charles Geoffrey Lee

  IRN CXL01116

  • 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 (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (16 Apr 2007 to 31 Oct 2007)
• Charles Sims, Jr Farr

  IRN CSF01011

  • CF21 Investment Adviser (27 Oct 2003 to 14 Mar 2005)
• Charles Thomas Miley

  IRN CTM01014

  • CF30 Customer (1 Nov 2007 to 10 Nov 2009)
  • CF21 Investment Adviser (26 Apr 2006 to 31 Oct 2007)
• Chi-ing Ng

  IRN CXN01173

  • CF30 Customer (14 Mar 2008 to 23 Apr 2008)
• Chris Yates

  IRN CXY01016

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 May 2005)
• Christian Draisbach

  IRN CXD00209

  • [FCA CF] Client dealing (7 Apr 2025 to 30 Nov 2025)
• Christian Fingerhut

  IRN CXF00169

  • [FCA CF] Client dealing (since 13 Jan 2025)
• Christian Friedrich Hess

  IRN CFH01027

  • [FCA CF] Client dealing (since 19 Oct 2022)
• Christopher John Davidson Lawrence

  IRN CJL01071

  • CF1 Director (10 Oct 2003 to 3 Aug 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 24 Apr 2007)
• Christopher William Alan Lee

  IRN CWL01016

  • CF30 Customer (1 Nov 2007 to 30 Nov 2010)
  • CF21 Investment Adviser (9 Oct 2007 to 31 Oct 2007)

No changes recorded yet.