PIPER SANDLER LTD.

Date authorised
1 April 2013
Companies House
03846990
Last scraped
3 weeks ago
Watch for changes

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.

  • Claudio Salinardi

    IRN CXS01223

    • CF21 Investment Adviser (12 Jun 2002 to 30 Apr 2003)
  • Clive Maxwell Richmond

    IRN CMR01046

    • CF30 Customer (1 Nov 2007 to 30 Nov 2010)
    • CF21 Investment Adviser (10 Aug 2005 to 31 Oct 2007)
  • Colin Michael Donald

    IRN CMD01111

    • SMF16 Compliance Oversight (9 Dec 2019 to 12 May 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 May 2020)
    • CF10 Compliance Oversight (5 Jul 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Jul 2017 to 8 Dec 2019)
  • Corinna Jasmin Kubin

    IRN CJK01053

    • CF30 Customer (16 Jul 2010 to 18 Oct 2010)
  • Daniel Allmomen

    IRN DXA06319

    • [FCA CF] Client dealing (since 6 Jan 2025)
  • Daniela Ventrone

    IRN DXV01072

    • CF30 Customer (18 Nov 2009 to 30 Nov 2010)
  • David Andrew Joynt

    IRN DAJ01105

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Mar 2023)
    • CF30 Customer (16 Sep 2013 to 8 Dec 2019)
  • David Gordon Blair

    IRN GDB01028

    • CF30 Customer (1 Nov 2007 to 30 Dec 2008)
    • CF21 Investment Adviser (19 Aug 2005 to 31 Oct 2007)
  • David Howard Phillips

    IRN DHP01020

    • CF21 Investment Adviser (1 Sep 2005 to 25 May 2007)
  • David Ian Wilson

    IRN DIW01015

    • CF30 Customer (1 Nov 2007 to 31 Jan 2011)
    • CF3 Chief Executive (5 May 2005 to 31 Jan 2011)
    • CF8 Apportionment and Oversight (5 May 2005 to 31 Oct 2007)
    • CF1 Director (12 Mar 2002 to 31 Jan 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Show more

Recent activity

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

No changes recorded yet.