BB
Brian D. Bertonazzi
PIPER SANDLER & CO.
Boston, MA 02110
Some features on this profile are disabled
CRD#: 1111059
BB
Professional summary
Brian David Bertonazzi is a registered financial professional currently at PIPER SANDLER & CO. located in Boston, Massachusetts.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1983. Brian has worked at 9 firms and has passed the Series 63, SIE, Series 15, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Brian David Bertonazzi'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: 100 Federal Street 33rd Floor, Boston, MA 02110RIA
BD
CRD#: 665
Boston, MA
Past
March 23, 1995 - January 3, 2020
SANDLER, O'NEILL & PARTNERS, L.P.
BD
CRD#: 23328
BOSTON, MA
Past
November 26, 1991 - February 27, 1995
H.C.WAINWRIGHT & CO., LLC
BD
CRD#: 375
NEW YORK, NY
Past
June 13, 1989 - November 27, 1991
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
April 12, 1988 - June 28, 1989
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
October 7, 1986 - April 21, 1988
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
April 2, 1985 - October 10, 1986
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
January 11, 1984 - March 15, 1985
MOSELEY SECURITIES CORPORATION
BD
CRD#: 7908
Past
April 15, 1983 - November 21, 1983
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
California(1/3/2020)
RR
Connecticut(1/3/2020)
RR
Florida(1/3/2020)
RR
Illinois(1/3/2020)
RR
Massachusetts(1/3/2020)
RR
New Jersey(10/18/2023)
RR
New York(1/23/2020)
RR
Pennsylvania(1/3/2020)
RR
Rhode Island(1/3/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 5/29/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
PIPER SANDLER & CO.
CRD#: 665Boston, MA 02110TRUST BUT VERIFY
Monitor Brian Bertonazzi
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
