Phillip J. Ream
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.
Phillip Jude Ream, who also goes by Phillip J Ream Sr, Phillip J Ream, Phillip Jude Ream Sr, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1990. Phillip had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2018 - December 23, 2019
PIPER SANDLER & CO.
September 18, 2015 - June 20, 2018
BARCLAYS CAPITAL INC.
September 29, 2010 - October 8, 2013
J.P. MORGAN SECURITIES LLC
July 17, 2009 - March 18, 2010
M.M. DILLON & CO. LLC
March 16, 2005 - December 31, 2006
J.P. MORGAN SECURITIES LLC
November 6, 2002 - June 18, 2008
J.P. MORGAN SECURITIES LLC
October 6, 1999 - May 30, 2002
COWEN AND COMPANY
November 28, 1997 - September 29, 1999
CITIGROUP GLOBAL MARKETS INC.
July 1, 1996 - September 1, 1998
SALOMON BROTHERS INC.
July 2, 1993 - January 6, 1995
CREDIT SUISSE SECURITIES (USA) LLC
March 30, 1992 - April 16, 1993
DRESDNER KLEINWORT WASSERSTEIN, LLC
October 24, 1990 - March 10, 1992
CREDIT SUISSE SECURITIES (USA) LLC
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.
