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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    qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheckreports for brokerage firms include information on a firms profile, history, and operations, as well as many of thesame disclosure events mentioned above.

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    Using this site/information meansthat you accept the FINRABrokerCheck Terms andConditions. A complete list ofTerms and Conditions can befound at

    For additional information aboutthe contents of this report, pleaserefer to the User Guidance orwww.finra.org/brokercheck. Itprovides a glossary of terms and alist of frequently asked questions,as well as additional resources.

    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