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.

• Dominic Christopher Hugh Risso-Gill

  IRN DCR01073

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Functions requiring qualifications (since 6 Apr 2020)
• Dominic Richard Wilson

  IRN DRW01074

  • CF30 Customer (1 Nov 2007 to 30 May 2008)
  • CF21 Investment Adviser (15 Aug 2005 to 31 Oct 2007)
• Douglas Frederick Barclay

  IRN DXB14483

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Duncan Rhoderick MacGregor Bruce-Lockhart

  IRN DRB01140

  • CF30 Customer (24 Sep 2009 to 30 Nov 2010)
• Edward Damian Charles Thornton

  IRN EDT01003

  • [FCA CF] Client dealing (since 9 Jul 2022)
  • [FCA CF] Manager of certification employee (since 9 Jul 2022)
• Edward Martin Williamson

  IRN EXW00264

  • [FCA CF] Client dealing (since 19 Jan 2026)
• Edwin John Leigh

  IRN EJL01020

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 May 2017 to 8 Dec 2019)
• Ekaterina Leonov

  IRN EXL01263

  • [FCA CF] Client dealing (since 30 Aug 2024)
• Eleftherios Marios Kourtis

  IRN EXK00173

  • [FCA CF] Client dealing (since 13 Jul 2023)
• Elissa Meghan von Broembsen-Kluever

  IRN EMK01023

  • CF30 Customer (25 Jan 2008 to 10 Dec 2008)

No changes recorded yet.