Lawrence B. Pindyck

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CRD#: 2092078

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.

Lawrence Bernard Pindyck, CFA, who also goes by Larry Pindyck, was a registered financial professional .

Lawrence is a previously registered financial professional and started their career in finance in 1990. Lawrence had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 16, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Larry Pindyck

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®

CFA

CRD#: 7613

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.

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.

General Securities Sales Supervisor Examination (Options Module & General Module)

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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Lawrence B. Pindyck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SANDLER, O'NEILL & PARTNERS, L.P.

LEHMAN BROTHERS INC.

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

SCHRODER & CO. INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

PIPER SANDLER & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/5/1996

SIE

Date: 10/1/2018

Series 7

Date: 7/25/1995

Series 16

Date: 10/31/1990

Series 24

Date: 7/1/2006

Series 8

Date: 2/27/1996

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.

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