Elise C. Tanner
Professional summary
Elise Clydean Tanner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Elise is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Elise had worked at 6 firms, which includes PIPER SANDLER & CO., STIFEL NICOLAUS & COMPANY INCORPORATED, TBT SECURITIES L.C., D.R. HANCOCK & COMPANY INC., BRYAN WORLEY & CO. INC., R. ROWLAND & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2000 - March 11, 2003
PIPER SANDLER & CO.
January 27, 1998 - November 29, 2000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 8, 1996 - January 23, 1998
TBT SECURITIES L.C.
December 15, 1986 - July 11, 1995
D.R. HANCOCK & COMPANY, INC.
June 26, 1984 - January 28, 1985
BRYAN, WORLEY & CO., INC.
June 22, 1983 - June 15, 1984
R. ROWLAND & CO., INCORPORATED
Primary Firm SEC Registration
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
Contact information
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.
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