0000724683-20-000114.txt : 20201210 0000724683-20-000114.hdr.sgml : 20201210 20201210082158 ACCESSION NUMBER: 0000724683-20-000114 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 ADLER,MARK,JEROME, FILED AS OF DATE: 20201209 DATE AS OF CHANGE: 20201210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PIPER SANDLER & CO. CENTRAL INDEX KEY: 0000724683 IRS NUMBER: 410953246 STATE OF INCORPORATION: DE FISCAL YEAR END: 1200 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04228 FILM NUMBER: 201379536 BUSINESS ADDRESS: STREET 1: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402-7020 BUSINESS PHONE: 612-303-6359 MAIL ADDRESS: STREET 1: 800 NICOLLET MALL STREET 2: SUITE 900 CITY: MINNEAPOLIS STATE: MN ZIP: 55402-7020 FORMER COMPANY: FORMER CONFORMED NAME: PIPER JAFFRAY & CO. DATE OF NAME CHANGE: 20200106 FORMER COMPANY: FORMER CONFORMED NAME: PIPER SANDLER & CO. DATE OF NAME CHANGE: 20191225 FORMER COMPANY: FORMER CONFORMED NAME: PIPER JAFFRAY & CO. DATE OF NAME CHANGE: 20040105 MA-I/A 1 primary_doc.xml MA-I/A 0000724683 XXXXXXXX Madeline Grinnell 612-303-6523 madeline.grinnell@psc.com registration@psc.com N N MARK JEROME ADLER 1224856 N 1 0000724683 PIPER JAFFRAY & CO. 06-06-2008 N 07-09-2014 0000724683 LOCATED 07-21-2014 50 CALIFORNIA ST 31ST FLOOR SAN FRANCISCO CA 94111 SUPERVISED 06-11-2008 800 NICOLLET MALL MINNEAPOLIS MN 55402 LOCATED 06-11-2008 2321 ROSECRANS AVE SUITE 3200 EL SEGUNDO CA 90245 06-2008 PIPER JAFFRAY & CO. EL SEGUNDO CA 90245 Y Y PUBLIC FINANCE INVESTMENT BANKING 01-2006 06-2008 UBS SECURITIES LLC BEACHWOOD OH 44122 Y Y MANAGING DIRECTOR 03-1990 01-2006 UBS FINANCIAL SERVICES INC. LOS ANGELES CA 90017 Y Y MANAGING DIRECTOR, INVESTMENT BANKING Y 11-2020 ORT America, Inc 75 Maiden Lane, 10th Floor New York NY 10038 N N Charitable Organization Board member 4 Finance committee 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 12-09-2020 Gregory S. Byer Chief Compliance Officer