PIPER JAFFRAY CO. - FINRA JAFFRAY CO. CRD# 665 SEC# 8-15204 Main Office Location 800 NICOLLET MALL MINNEAPOLIS, MN 55402-7020 Regulated by FINRA Kansas City Office Mailing Address 800 NICOLLET MALL SUITE 1000

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  • BrokerCheck Report

    PIPER JAFFRAY & CO.

    Section Title

    Report Summary

    Firm History

    CRD# 665

    1

    9

    Firm Profile 2 - 8

    Page(s)

    Firm Operations 10 - 20

    Disclosure Events 21

    http://www.finra.org

  • About BrokerCheck

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    brokercheck.finra.org

    http://www.finra.orghttps://www.AdviserInfo.sec.govhttp://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414http://www.finra.orghttp://brokercheck.finra.org/Support/Terms

  • PIPER JAFFRAY & CO.

    CRD# 665

    SEC# 8-15204

    Main Office Location

    800 NICOLLET MALLMINNEAPOLIS, MN 55402-7020Regulated by FINRA Kansas City Office

    Mailing Address

    800 NICOLLET MALLSUITE 1000MINNEAPOLIS, MN 55402-7020

    This firm is a brokerage firm and an investmentadviser firm. For more information aboutinvestment adviser firms, visit the SEC'sInvestment Adviser Public Disclosure website at:

    Business Telephone Number

    612-303-6000

    https://www.adviserinfo.sec.gov

    Report Summary for this Firm

    This report summary provides an overview of the brokerage firm. Additional information for this firm can be foundin the detailed report.

    Disclosure Events

    Brokerage firms are required to disclose certaincriminal matters, regulatory actions, civil judicialproceedings and financial matters in which the firm orone of its control affiliates has been involved.

    Are there events disclosed about this firm? Yes

    The following types of disclosures have beenreported:

    Type Count

    Regulatory Event 134

    Civil Event 1

    Arbitration 55

    Firm Profile

    This firm is classified as a corporation.

    This firm was formed in Delaware on 07/28/1969.

    Its fiscal year ends in December.

    Firm History

    Information relating to the brokerage firm's historysuch as other business names and successions(e.g., mergers, acquisitions) can be found in thedetailed report.

    Firm Operations

    Is this brokerage firm currently suspended with anyregulator? No

    This firm conducts 16 types of businesses.

    This firm is affiliated with financial or investmentinstitutions.

    This firm has referral or financial arrangements withother brokers or dealers.

    This firm is registered with:

    the SEC 10 Self-Regulatory Organizations 53 U.S. states and territories

    www.finra.org/brokercheck User Guidance

    12018 FINRA. All rights reserved. Report about PIPER JAFFRAY & CO.

    https://adviserinfo.sec.gov/IAPD/IAPDSummaryRouter.aspx?IndividualID=-1&FirmID=665&Source=Reporthttp://www.finra.orghttp://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reports

  • www.finra.org/brokercheck User Guidance

    This firm is classified as a corporation.

    This firm was formed in Delaware on 07/28/1969.

    CRD#

    This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailingaddresses, telephone number, and any alternate name by which the firm conducts business and where such name isused.

    Firm Profile

    Firm Names and Locations

    Its fiscal year ends in December.

    PIPER JAFFRAY & CO.

    SEC#

    665

    8-15204

    Main Office Location

    Mailing Address

    Business Telephone Number

    Doing business as PIPER JAFFRAY & CO.

    612-303-6000

    Regulated by FINRA Kansas City Office

    800 NICOLLET MALLMINNEAPOLIS, MN 55402-7020

    800 NICOLLET MALLSUITE 1000MINNEAPOLIS, MN 55402-7020

    Other Names of this Firm

    Name Where is it used

    HOPWOOD LANE, DIVISION OF PIPER JAFFRAY & CO. MN, NY, WA

    SIMMONS & COMPANY INTERNATIONAL/ENERGY SPECIALISTS OFPIPER JAFF

    AK, AL, AR, AZ, CA,CO, CT, DC, DE, FL,GA, HI, IA, ID, IL, IN,KS, KY, LA, MA, MD,ME, MI, MN, MO,MS, MT, NC, ND, NE,NH, NJ, NM, NV, NY,OH, OK, OR, PA, RI,SC, SD, TN, TX, UT,VA, VT, WA, WI, WV,WY

    22018 FINRA. All rights reserved. Report about PIPER JAFFRAY & CO.

    http://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reportshttp://www.finra.org

  • www.finra.org/brokercheck User Guidance

    AK, AL, AR, AZ, CA,CO, CT, DC, DE, FL,GA, HI, IA, ID, IL, IN,KS, KY, LA, MA, MD,ME, MI, MN, MO,MS, MT, NC, ND, NE,NH, NJ, NM, NV, NY,OH, OK, OR, PA, RI,SC, SD, TN, TX, UT,VA, VT, WA, WI, WV,WY

    32018 FINRA. All rights reserved. Report about PIPER JAFFRAY & CO.

    http://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reports

  • www.finra.org/brokercheck User Guidance

    This section provides information relating to all direct owners and executive officers of the brokerage firm.

    Direct Owners and Executive Officers

    Firm Profile

    Position

    Percentage of Ownership

    Is this a public reportingcompany?

    Position Start Date

    Does this owner direct themanagement or policies ofthe firm?

    PIPER JAFFRAY COMPANIES

    PARENT

    75% or more

    Yes

    Domestic Entity

    12/2003

    Yes

    Is this a domestic or foreignentity or an individual?

    Legal Name & CRD# (if any):

    Position

    Percentage of Ownership

    Is this a public reportingcompany?

    Position Start Date

    Does this owner direct themanagement or policies ofthe firm?

    ABRAHAM, CHAD RICHARD

    CEO; BOARD MEMBER

    Less than 5%

    No

    Individual

    01/2018

    Yes

    2190836

    Is this a domestic or foreignentity or an individual?

    Legal Name & CRD# (if any):

    Position

    Percentage of Ownership

    Position Start Date

    CARTER, TIMOTHY LEE

    CFO; BOARD MEMBER

    Less than 5%

    Individual

    01/2018

    2676342

    Is this a domestic or foreignentity or an individual?

    Legal Name & CRD# (if any):

    42018 FINRA. All rights reserved. Report about PIPER JAFFRAY & CO.

    http://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reportshttp://www.finra.org

  • www.finra.org/brokercheck User Guidance

    Direct Owners and Executive Officers (continued)

    Firm Profile

    Percentage of Ownership

    Is this a public reportingcompany?

    Does this owner direct themanagement or policies ofthe firm?

    Less than 5%

    No

    Yes

    Position

    Percentage of Ownership

    Is this a public reportingcompany?

    Position Start Date

    Does this owner direct themanagement or policies ofthe firm?

    DUFF, ANDREW SCOTT

    CHAIRMAN; BOARD MEMBER

    Less than 5%

    No

    Individual

    01/1996

    Yes

    719526

    Is this a domestic or foreignentity or an individual?

    Legal Name & CRD# (if any):

    Position

    Percentage of Ownership

    Is this a public reportingcompany?

    Position Start Date

    Does this owner direct themanagement or policies ofthe firm?

    FAIRMAN, FRANCIS EVARTS IV

    HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER

    Less than 5%

    No

    Individual

    07/2005

    Yes

    1171131

    Is this a domestic or foreignentity or an individual?

    Legal Name & CRD# (if any):

    GEELAN, JOHN WILLIAM JR.

    4905460

    Legal Name & CRD# (if any):

    52018 FINRA. All rights reserved. Report about PIPER JAFFRAY & CO.

    http://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reportshttp://www.finra.org

  • www.finra.org/brokercheck User Guidance

    Direct Owners and Executive Officers (continued)

    Firm Profile

    Position

    Percentage of Ownership

    Is this a public reportingcompany?

    Position Start Date

    Does this owner direct themanagement or policies ofthe firm?

    CHIEF LEGAL OFFICER

    Less than 5%

    No

    Individual

    01/2013

    Yes

    4905460

    Is this a domestic or foreignentity or an individual?

    Position

    Percentage of Ownership

    Is this a public reportingcompany?

    Position Start Date

    Does this owner direct themanagement or policies ofthe firm?

    LARUE, ROBERT SCOTT

    HEAD OF INVESTMENT BANKING; BOARD MEMBER

    Less than 5%

    No

    Individual

    01/2018

    Yes

    3185126

    Is this a domestic or foreignentity or an individual?

    Legal Name & CRD# (if any):

    Position

    Percentage of Ownership

    Position Start Date

    Does this owner direct themanagement or policies ofthe firm?

    MCCAGUE, ANNCHARLOTTE

    CHIEF COMPLIANCE OFFICER

    Less than 5%

    Individual

    12/2005

    Yes

    1108448

    Is this a domestic or foreignentity or an individual?

    Legal Name & CRD# (if any):

    62018 FINRA. All rights reserved. Report about PIPER JAFFRAY & CO.

    http://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reportshttp://www.finra.org

  • www.finra.org/brokercheck User Guidance

    Direct Owners and Executive Officers (continued)

    Firm Profile

    Is this a public reportingcompany?

    Does this owner direct themanagement or policies ofthe firm?

    No

    Yes

    Position

    Percentage of Ownership

    Is this a public reportingcompany?

    Position Start Date

    Does this owner direct themanagement or policies ofthe firm?

    SCHONEMAN, DEBBRA LYNN

    PRESIDENT; HEAD OF EQUITIES; BOARD MEMBER

    Less than 5%

    No

    Individual

    01/2018

    Yes

    1980635

    Is this a domestic or foreignentity or an individual?

    Legal Name & CRD# (if any):

    Position

    Percentage of Ownership

    Is this a public reportingcompany?

    Position Start Date

    Does this owner direct themanagement or policies ofthe firm?

    WINGES, MARTIN BRADLEY

    HEAD OF FIXED INCOME SERVICES; BOARD MEMBER

    Less than 5%

    No

    Individual

    01/2009

    Yes

    1929509

    Is this a domestic or foreignentity or an individual?

    Legal Name & CRD# (if any):

    72018 FINRA. All rights reserved. Report about PIPER JAFFRAY & CO.

    http://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reportshttp://www.finra.org

  • www.finra.org/brokercheck User Guidance

    This section provides information relating to any indirect owners of the brokerage firm.

    Indirect Owners

    Firm Profile

    No information reported.

    82018 FINRA. All rights reserved. Report about PIPER JAFFRAY & CO.

    http://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reportshttp://www.finra.org

  • www.finra.org/brokercheck User Guidance

    Firm History

    This section provides information relating to any successions (e.g., mergers, acquisitions) involving the firm.

    No information reported.

    92018 FINRA. All rights reserved. Report about PIPER JAFFRAY & CO.

    http://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reportshttp://www.finra.org

  • www.finra.org/brokercheck User Guidance

    Firm Operations

    RegistrationsThis section provides information about the regulators (Securities and Exchange Commission (SEC), self-regulatoryorganizations (SROs), and U.S. states and territories) with which the brokerage firm is currently registered andlicensed, the date the license became effective, and certain information about the firm's SEC registration.

    This firm is currently registered with the SEC, 10 SROs and 53 U.S. states and territories.

    SEC Registration Questions

    This firm is registered with the SEC as:

    A broker-dealer:

    A broker-dealer and government securities broker or dealer:

    A government securities broker or dealer only:

    This firm has ceased activity as a government securities broker or dealer:

    Yes

    Yes

    No

    No

    Federal Regulator Status Date Effective

    SEC Approved 10/24/1969

    Self-Regulatory Organization Status Date Effective

    FINRA Approved 10/16/1936

    Cboe BYX Exchange, Inc. Approved 11/15/2012

    Cboe BZX Exchange, Inc. Approved 10/15/2008

    Cboe EDGA Exchange, Inc. Approved 05/14/2010

    Cboe EDGX Exchange, Inc. Approved 05/14/2010

    Investors' Exchange LLC Approved 08/10/2016

    NYSE American LLC Approved 02/25/1988

    NYSE Arca, Inc. Approved 04/09/2003

    Nasdaq Stock Market Approved 07/12/2006

    New York Stock Exchange Approved 11/17/1982

    102018 FINRA. All rights reserved. Report about PIPER JAFFRAY & CO.

    http://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reportshttp://www.finra.org

  • www.finra.org/brokercheck User Guidance

    Firm Operations

    Registrations (continued)

    U.S. States &Territories

    Status Date Effective

    Alabama Approved 10/24/1981

    Alaska Approved 08/10/1972

    Arizona Approved 03/10/1976

    Arkansas Approved 05/24/1985

    California Approved 01/02/1973

    Colorado Approved 02/01/1983

    Connecticut Approved 06/21/1976

    Delaware Approved 10/06/1981

    District of Columbia Approved 04/21/1983

    Florida Approved 04/27/1983

    Georgia Approved 09/22/1981

    Hawaii Approved 12/08/1980

    Idaho Approved 01/01/1971

    Illinois Approved 06/29/1970

    Indiana Approved 10/21/1981

    Iowa Approved 07/14/1983

    Kansas Approved 04/23/1975

    Kentucky Approved 07/16/1982

    Louisiana Approved 04/20/1983

    Maine Approved 04/27/1984

    Maryland Approved 10/03/1981

    Massachusetts Approved 07/31/1981

    Michigan Approved 02/03/1983

    Minnesota Approved 07/15/1982

    Mississippi Approved 04/20/1984

    Missouri Approved 07/18/1983

    Montana Approved 04/20/1983

    Nebraska Approved 10/08/1981

    Nevada Approved...