Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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PIPER SANDLER LTD.
FRN 191657
- [FCA CF] Manager of certification employee (since 10 Jan 2024)
- [FCA CF] Client dealing (since 10 Jan 2024)
- SMF3 Executive Director (9 Dec 2019 to 9 Jan 2024)
- CF1 Director (21 Feb 2011 to 8 Dec 2019)
- CF10 Compliance Oversight (21 Feb 2011 to 5 Jul 2017)
- CF3 Chief Executive (21 Feb 2011 to 4 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 24 Apr 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.