Barbara J. Wolter

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CRD#: 1687160

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.

Barbara Jean Wolter, who also goes by Barbara Jean Cox, was a registered financial professional .

Barbara is a previously registered financial professional and started their career in finance in 1987. Barbara had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 52 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Barbara Jean Cox

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 5, 2016 - December 31, 2024

PIPER SANDLER & CO.

RIA

CRD#: 665

MINNEAPOLIS, MN

Past

April 4, 2012 - August 5, 2016

PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 145876

MINNEAPOLIS, MN

Past

September 22, 2008 - December 31, 2011

PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 145876

MINNEAPOLIS, MN

Past

April 29, 2002 - December 31, 2024

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

September 16, 1996 - April 15, 2003

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

September 20, 1993 - March 18, 1994

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

DALLAS, TX

Past

January 24, 1991 - October 16, 1991

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

June 24, 1987 - September 14, 1989

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

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.

CRD#: 665 / SEC#: 801-108049, 8-15204

RIA

Registered Investment Advisory firm - SEC (8/4/2016 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/19/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/20/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 52

Date: 12/10/1992

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Current Firm

PIPER SANDLER & CO.

CRD#: 665 / SEC#: 801-108049, 8-15204

RIA

Registered Investment Advisory firm - SEC (8/4/2016 Approved)

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PIPER SANDLER & CO. CONSOLIDATED BROCHURE (7/14/2025)

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Barbara J. Wolter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC

PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC

PIPER SANDLER & CO.

U.S. BANCORP INVESTMENTS, INC.

MOMENTUM INDEPENDENT NETWORK INC.

SECURIAN FINANCIAL SERVICES, INC.

CETERA INVESTMENT SERVICES LLC

Primary Firm SEC Registration

PIPER SANDLER & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2008

Series 63

Date: 9/20/1996

SIE

Date: 10/1/2018

Series 52

Date: 12/10/1992

Series 7

Date: 6/20/1987

Current Firm

PIPER SANDLER & CO.

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

PIPER SANDLER & CO.

TRUST BUT VERIFY

Contact information

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