Marc J. Walters
Professional summary
Marc Joseph Walters, who also goes by Marc Joseph Walters, Marc Walters, is a registered financial professional currently at PIPER SANDLER & CO. located in Chicago, Illinois.
Marc is registered as a RR (Registered Representative) and started their career in finance in 1988. Marc has worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Marc Joseph Walters's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 18, 2026 - Present
PIPER SANDLER & CO.
Office #1: 444 W Lake St Suite 3300, Chicago, IL 60606March 18, 2025 - September 26, 2025
KEYBANC CAPITAL MARKETS INC.
February 20, 2024 - November 8, 2024
OPPENHEIMER & CO. INC.
February 22, 2023 - February 22, 2024
HILLTOP SECURITIES INC.
September 27, 2022 - January 3, 2023
B. RILEY SECURITIES, INC.
December 5, 2019 - August 12, 2022
FIFTH THIRD SECURITIES, INC.
February 23, 2018 - October 1, 2019
CFG CAPITAL MARKETS, LLC
May 11, 2015 - January 31, 2018
ROBERT W. BAIRD & CO. INCORPORATED
August 13, 2013 - May 11, 2015
JANNEY MONTGOMERY SCOTT LLC
December 1, 2005 - June 3, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 8, 2004 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
August 26, 2002 - September 9, 2004
AMHERST SECURITIES GROUP, L.P.
June 23, 1997 - September 10, 2002
LEGG MASON WOOD WALKER, INCORPORATED
April 15, 1991 - June 25, 1997
ALEX. BROWN & SONS INCORPORATED
August 9, 1989 - February 15, 1991
FIRST UNION CAPITAL MARKETS CORP.
May 25, 1988 - May 16, 1990
BUTCHER & SINGER INC.
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
(2/18/2026)
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
