MA-I/A 0000724683 XXXXXXXX Madeline Grinnell 6123036523 madeline.grinnell@Psc.com registration@psc.com N N DAVID HENRY KLINGES JR 1386190 N 1 0000724683 PIPER JAFFRAY & CO. 11-04-2009 N 07-09-2014 0000724683 LOCATED 04-18-2012 TWO LOGAN SQUARE 100 NORTH 18TH STREET SUITE 1820 PHILADELPHIA PA 19103 SUPERVISED 04-18-2012 1747 [EMMSU;VAMOA AVE NW SUITE 210 WASHINGTON DC 20006 11-2009 PIPER JAFFRAY & CO. PHILADELPHIA PA 19103 Y Y PUBLIC FINANCE INVESTMENT BANKER 09-2008 11-2009 MESIROW FINANCIAL, INC. NEW YORK NY 10006 N Y MANAGING DIRECTOR 03-1998 06-2008 BEAR, STEARNS & CO. INC. NEW YORK NY 10179 N Y MANAGING DIRECTOR N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 04-20-2020 Gregory S. Byer Chief Compliance Officer