Gary S. Radebaugh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gary Scott Radebaugh was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1986. Gary had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2015 - May 30, 2019
PIPER SANDLER & CO.
November 16, 2012 - October 19, 2015
BMO CAPITAL MARKETS GKST INC.
October 5, 2011 - November 16, 2012
PIERPONT CAPITAL ADVISORS LLC
November 7, 2006 - October 11, 2011
RAYMOND JAMES & ASSOCIATES, INC.
March 14, 2001 - November 13, 2006
RBC CAPITAL MARKETS, LLC
July 18, 2000 - March 23, 2001
A. G. EDWARDS & SONS, INC.
July 15, 1998 - July 19, 2000
RBC CAPITAL MARKETS, LLC
March 17, 1995 - April 13, 1998
ABN AMRO INCORPORATED
June 16, 1993 - February 27, 1995
MERIDIAN SECURITIES, INC.
March 11, 1989 - January 29, 1992
JW GENESIS CLEARING CORP.
November 25, 1988 - December 20, 1991
RUAN SECURITIES CORPORATION
July 13, 1987 - October 25, 1988
WESTCAP SECURITIES, L.P.
July 8, 1987 - September 11, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
February 23, 1987 - June 19, 1987
TMA GOVERNMENT SECURITIES, LTD.
December 23, 1986 - February 26, 1987
FIRST INVESTMENT SECURITIES, 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
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
