0000724683-24-000008.txt : 20240124 0000724683-24-000008.hdr.sgml : 20240124 20240124143951 ACCESSION NUMBER: 0000724683-24-000008 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 MA-I INDIVIDUAL: CARTY,TIMOTHY,PATRICK, FILED AS OF DATE: 20240124 DATE AS OF CHANGE: 20240124 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PIPER SANDLER & CO. CENTRAL INDEX KEY: 0000724683 ORGANIZATION NAME: IRS NUMBER: 410953246 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04228 FILM NUMBER: 24555993 BUSINESS ADDRESS: STREET 1: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402-7020 BUSINESS PHONE: 612-303-6843 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 Steven Aune 6123981590 steven.aune@psc.com registration@pjc.com N 0000724683-14-000029 Y TIMOTHY PATRICK CARTY 1245427 N 1 0000724683 PIPER JAFFRAY & CO. 06-11-2008 N 07-09-2014 0000724683 LOCATED SUPERVISED 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 BANKER 01-2006 06-2008 UBS SECURITIES LLC STAMFORD CT 06901 Y Y MANAGING DIRECTOR 03-1990 01-2006 PAINEWEBBER INCORPORATED AND UBS PAINEWEBBER LOS ANGELES CA 90017 Y Y MANAGING DIRECTO 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 01-24-2024 Gregory S. Byer Chief Compliance Officer