GJ
George C. Johns
PIPER SANDLER & CO.
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 1028015
GJ
Professional summary
George Chris Johns, who also goes by Goerge Chris Johns, is a registered financial professional currently at PIPER SANDLER & CO. located in New York, New York.
George is registered as a RR (Registered Representative) and started their career in finance in 1983. George has worked at 8 firms and has passed the Series 63, Series 62, Series 79TO, SIE, Series 7, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Goerge Chris Johns
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 George Chris Johns'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
January 3, 2020 - Present
PIPER SANDLER & CO.
Office #1: 1251 Avenue Of The Americas 6th Floor, New York, NY, 10020RIA
BD
CRD#: 665
NEW YORK, NY
Past
September 10, 2007 - January 3, 2020
SANDLER, O'NEILL & PARTNERS, L.P.
BD
CRD#: 23328
NEW YORK, NY
Past
April 12, 2007 - October 2, 2007
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
November 18, 2004 - April 10, 2007
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
May 6, 1999 - October 19, 2004
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
November 28, 1997 - January 26, 1998
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 20, 1993 - January 26, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
September 25, 1985 - April 12, 1993
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
July 20, 1983 - August 19, 1983
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
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
Alabama(1/3/2020)
RR
Alaska(1/3/2020)
RR
Arizona(1/3/2020)
RR
Arkansas(1/3/2020)
RR
California(1/3/2020)
RR
Colorado(1/3/2020)
RR
Connecticut(1/3/2020)
RR
Delaware(1/3/2020)
RR
District of Columbia(1/3/2020)
RR
Florida(1/3/2020)
RR
Georgia(1/3/2020)
RR
Hawaii(1/3/2020)
RR
Idaho(1/3/2020)
RR
Illinois(1/3/2020)
RR
Indiana(1/3/2020)
RR
Iowa(1/3/2020)
RR
Kansas(1/3/2020)
RR
Kentucky(1/3/2020)
RR
Louisiana(1/3/2020)
RR
Maine(1/3/2020)
RR
Maryland(1/3/2020)
RR
Massachusetts(1/3/2020)
RR
Michigan(1/3/2020)
RR
Minnesota(1/3/2020)
RR
Mississippi(1/3/2020)
RR
Missouri(1/3/2020)
RR
Montana(1/3/2020)
RR
Nebraska(1/3/2020)
RR
Nevada(1/3/2020)
RR
New Hampshire(1/3/2020)
RR
New Jersey(1/3/2020)
RR
New Mexico(1/3/2020)
RR
New York(1/3/2020)
RR
North Carolina(1/3/2020)
RR
North Dakota(1/3/2020)
RR
Ohio(1/3/2020)
RR
Oklahoma(1/3/2020)
RR
Oregon(1/3/2020)
RR
Pennsylvania(1/3/2020)
RR
Puerto Rico(1/3/2020)
RR
Rhode Island(1/3/2020)
RR
South Carolina(1/3/2020)
RR
South Dakota(1/3/2020)
RR
Tennessee(1/3/2020)
RR
Texas(1/3/2020)
RR
Utah(1/3/2020)
RR
Vermont(1/3/2020)
RR
Virginia(1/3/2020)
RR
Washington(1/3/2020)
RR
West Virginia(1/3/2020)
RR
Wisconsin(1/3/2020)
RR
Wyoming(1/3/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
