AG
Anthony M. Gatto
PIPER SANDLER & CO.
Melville, NY 11747
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CRD#: 2040867
AG
Professional summary
Anthony Michael Gatto, who also goes by Anthony M Gatto, is a registered financial professional currently at PIPER SANDLER & CO. located in Melville, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 1990. Anthony has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Anthony M Gatto
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 Anthony Michael Gatto'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
July 31, 2012 - Present
PIPER SANDLER & CO.
Office #1: 324 S. Service Road Suite 206, Melville, NY 11747RIA
BD
CRD#: 665
Melville, NY
Past
September 12, 2011 - August 16, 2012
MORGAN STANLEY
BD
CRD#: 149777
MELVILLE, NY
Past
December 17, 1999 - September 15, 2011
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MELVILLE, NY
Past
November 20, 1997 - January 26, 2000
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
October 17, 1997 - November 10, 1997
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
Past
August 14, 1995 - October 24, 1997
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 5, 1991 - August 22, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 23, 1990 - June 3, 1991
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
March 20, 1990 - March 31, 1990
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
NEW YORK, NY
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
Arizona(1/2/2024)
RR
California(6/27/2025)
RR
Connecticut(7/31/2012)
RR
District of Columbia(7/17/2013)
RR
Florida(1/2/2014)
RR
Georgia(10/27/2023)
RR
Hawaii(11/1/2024)
RR
Idaho(9/3/2024)
RR
Illinois(6/26/2018)
RR
Indiana(6/26/2018)
RR
Iowa(9/3/2024)
RR
Maryland(11/14/2012)
RR
Massachusetts(7/31/2012)
RR
Michigan(9/30/2015)
RR
Missouri(7/5/2024)
RR
Montana(1/2/2024)
RR
Nebraska(4/1/2016)
RR
New Jersey(1/2/2014)
RR
New York(7/31/2012)
RR
North Carolina(2/5/2014)
RR
Ohio(6/26/2018)
RR
Oklahoma(1/18/2018)
RR
Pennsylvania(7/31/2012)
RR
Rhode Island(8/7/2017)
RR
South Carolina(10/4/2012)
RR
South Dakota(4/9/2018)
RR
Tennessee(1/4/2019)
RR
Texas(7/31/2012)
RR
Utah(3/1/2024)
RR
Virginia(7/31/2012)
RR
West Virginia(6/26/2018)
RR
Wyoming(3/5/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/21/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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)
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.
