LP
Lisa S. Pentz
PIPER SANDLER & CO.
LOS ANGELES, CA 90071
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CRD#: 1001984
LP
Professional summary
Lisa Sue Pentz, who also goes by Lisa Sue Pentz Tookey, Lisa Sue Pertz, Lisa Sue Ruff, is a registered financial professional currently at PIPER SANDLER & CO. located in Los Angeles, California.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 1981. Lisa has worked at 12 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lisa Sue Pentz Tookey | Lisa Sue Pertz | Lisa Sue Ruff
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Lisa Sue Pentz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 31, 2018 - Present
PIPER SANDLER & CO.
Office #1: 16501 Ventura Boulevard Suite 400, Office 435, Los Angeles, CA 90071RIA
BD
CRD#: 665
LOS ANGELES, CA
Past
November 6, 2009 - April 18, 2018
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
EL SEGUNDO, CA
Past
April 30, 2007 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
LOS ANGELES, CA
Past
February 18, 2004 - March 16, 2006
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
LOS ANGELES, CA
Past
March 15, 2001 - May 3, 2011
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
BD
CRD#: 5958
LOS ANGELES, CA
Past
September 29, 2000 - December 31, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
May 19, 1997 - September 27, 2000
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
July 15, 1996 - April 30, 1997
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
August 31, 1995 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
BD
CRD#: 17101
Past
April 3, 1995 - November 15, 1995
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
March 31, 1987 - April 2, 1993
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
September 20, 1985 - March 13, 1987
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
July 31, 1981 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BD
CRD#: 7555
Past
June 25, 1981 - October 30, 1985
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PIPER SANDLER & CO.
PIPER JAFFRAY & CO. | U.S. BANCORP PIPER JAFFRAY INC. | RESTRUCTURING GROUP | TRS ADVISORS (PART OF INVESTMENT BANKING) | PRIVATE CAPITAL ADVISORY GROUP, AVIDITI ADVISORS | PIPER, JAFFRAY & HOPWOOD INCORPORATED | PIPER SANDLER & CO. | PIPER JAFFRAY INC.
CRD#: 665 / SEC#: 801-108049, 8-15204
RIA
Registered Investment Advisory firm - SEC (8/4/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/4/2024)
RR
California(7/31/2018)
RR
Colorado(8/17/2018)
RR
Georgia(1/4/2024)
RR
Illinois(1/5/2024)
RR
Iowa(1/5/2024)
RR
Maryland(1/5/2024)
RR
Massachusetts(1/5/2024)
RR
Minnesota(8/1/2023)
RR
Missouri(11/8/2024)
RR
Nevada(8/17/2018)
RR
New York(1/5/2024)
RR
Oregon(8/6/2018)
RR
Pennsylvania(10/27/2023)
RR
Texas(1/5/2024)
RR
Washington(1/4/2019)
RR
Wisconsin(11/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
PIPER SANDLER & CO.
PIPER JAFFRAY & CO. | U.S. BANCORP PIPER JAFFRAY INC. | RESTRUCTURING GROUP | TRS ADVISORS (PART OF INVESTMENT BANKING) | PRIVATE CAPITAL ADVISORY GROUP, AVIDITI ADVISORS | PIPER, JAFFRAY & HOPWOOD INCORPORATED | PIPER SANDLER & CO. | PIPER JAFFRAY INC.
CRD#: 665 / SEC#: 801-108049, 8-15204
RIA
Registered Investment Advisory firm - SEC (8/4/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
350 N 5th Street Suite 1000, Minneapolis, MN 55401
Mailing Address
350 N 5th Street Suite 1000, Minneapolis, MN 55401
Phone number
(612) 303-6000
Established
Delaware since 07/28/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,370
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,985,004,532 |
Disclosures
| Regulatory Event | 141 |
| Civil Event | 1 |
| Arbitration | 50 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
